Attachment 2- NAVSEAINST 4855.34C.pdf

IN REPLY REFER TO:

DEPARTMENT OF THE NAVY

NAVAL SEA SYSTEMS COMMAND

1333 ISAAC HULL AVENUE SE

WASHINGTON NAVY YARD DC 20376-0001

NAVSEAINST 4855.34C

Ser 07Q21/0401 26 Dec 2017

NAVSEA INSTRUCTION 4855.34C

From: Commander, Naval Sea Systems Command

Subj: PROCEDURES FOR QUALIFYING AND AUTHORIZING ACTIVITIES TO

PERFORM SUBMARINE SAFETY, FLY-BY-WIRE SHIP CONTROL SYSTEMS,

AND DEEP SUBMERGENCE SYSTEMS-SCOPE OF CERTIFICATION WORK

Ref: (a) NAVSEA 0924-062-0010

(b) NAVSEA T9044-AD-MAN-010

(c) NAVSEA SS800-AG-MAN-010/P-9290

(d) NAVSEANOTE 5000

(e) NAVSEAINST 4855.35

(f) NAVSEAINST 5400.95

(g) ANSI/ISO/ASQ Q9001-2008

1. Purpose. This instruction provides the requirements for qualifying and authorizing activities to perform Submarine Safety (SUBSAFE), Fly-By-Wire Ship Control Systems (FBW SCS), and Deep Submergence Systems Scope of Certification (DSS-SOC) work, as defined in references (a), (b), and (c). For purposes of this instruction, the term “Certification Program work” is used to encompass the SUBSAFE, FBW SCS, and DSS-SOC program work, and the term “Sponsor” is used to encompass a NAVSEA Directorate, Program Office, or activity that has a vested interest in the qualification of a government activity or private company to perform Certification Program work. This revision clarifies the process used for qualifying activities and adds requirements for temporarily authorizing activities that were previously delineated in reference (d). This instruction is a complete revision and should be reviewed in its entirety.

2. Cancellation. This revision supersedes NAVSEAINST 4855.34B of 8 September 2011.

3. Background. References (a), (b), and (c) state that only those activities listed in reference (d) are authorized to perform Certification Program work. This instruction contains the requirements for qualifying an activity to be added to reference (d) and for expanding an activity’s scope of qualification specified in reference (d). It also provides requirements for authorizing, on a temporary basis, an activity that is not listed in reference (d) to perform Certification Program work in certain circumstances. Deviations from the requirements of this instruction will be approved on a case-by-case basis by NAVSEA 07.

4. Scope and Applicability. This instruction applies to all activities that perform, or are seeking to perform, Certification Program work.

26 Dec 2017

5. Activities Qualified to Perform Certification Program Work. Reference (d) lists activities that are currently qualified to perform Certification Program work. These Qualified Activities have demonstrated to NAVSEA that they are capable of satisfactorily performing this work on an ongoing basis. Qualified Activities are subject to periodic Functional Audits per reference (e) to evaluate compliance with the requirements of references (a), (b), and (c) and ensure their performance is satisfactory to maintain their qualification.

6. Government Oversight of Qualified Activities. The Government retains ultimate responsibility for the oversight and certification of Certification Program work. For NAVSEA-managed Government Qualified Activities, Supervising Authority resides with the activity commander. The Joint Fleet Maintenance Manual defines responsibilities for oversight and certification of Certification Program work performed by forces afloat and fleet-managed Qualified Activities. For private Qualified Activities, paragraphs 6a through 6c of this instruction provide the policies for Government oversight of Certification Program work.

a. SUBSAFE. As required by reference (a), for private shipyards and private ship repair organizations, Government oversight is accomplished by the Supervising Authority specified in reference (d).

b. FBW SCS. As specified by reference (b), for private shipyards, Government oversight is accomplished by the Supervising Authority (the applicable Supervisor of Shipbuilding, Conversion and Repair (SUPSHIP)). For Lockheed Martin Rotary & Missions Systems, there is no Supervising Authority; the assigned Program Manager is responsible for determining, with NAVSEA 07Q concurrence, the appropriate level of Government oversight necessary to ensure that program requirements are met. This oversight may be provided by the Program Manager or by another Government activity formally designated by the Program Manager.

c. DSS-SOC. For private shipyards, the Supervising Authority functions performed by the designated SUPSHIP for SUBSAFE and FBW SCS work are also performed for DSS-SOC work. For other private Qualified Activities, the assigned Program Manager is responsible for determining, with NAVSEA 07Q concurrence, the appropriate level of Government oversight necessary to ensure that the Qualified Activity continues to meet all program requirements.

Oversight actions can be formally delegated to another Government activity by the Program Manager.

7. Qualifying an Activity to Perform Certification Program Work

a. An activity seeking qualification to perform Certification Program work must submit a written Request to Pursue Qualification to the Sponsor who will review the request with specific regard to the Government’s need or benefit for the activity to perform the specified work. The Sponsor is responsible for providing funding and other resources needed to cover the Government’s expenses incurred during the qualification process, including funding for travel, conduct of Qualification Functional Audits, and other costs incurred by NAVSEA directly required to accomplish the qualification process. Favorable requests will be endorsed by the Sponsor and forwarded to NAVSEA 07. NAVSEA will designate a Supervising Authority (for SUBSAFE and FBW SCS work) or a Government oversight activity (for DSS-SOC work) for the Candidate Activity.

b. The Candidate Activity’s Request to Pursue Qualification must include:

(1) A clear description of the scope of Certification Program work for which the Candidate Activity is requesting qualification to perform,

(2) Rationale indicating capability to perform the work, such as experience performing similar work and evidence of a rigorous Quality Management System and Quality Assurance processes and procedures necessary for performing Certification Program work,

(3) Acknowledgement that the Candidate Activity or Sponsoring Activity will provide all funding for its expenses associated with qualification, including its labor and material costs for executing Qualification Projects, and

(4) A Qualification Plan that includes a timeline for completion of the items listed in paragraphs 7b(4)(a) through 7b(4)(g) of this instruction as appropriate.

(a) Presentation of the Qualification Plan to the Sponsor and NAVSEA 07Q that delineates the scope of work for which qualification is being sought, capabilities and expertise of the Candidate Activity, quality assurance oversight functions of the Supervising Authority or Government oversight activity, timeline of key events in the qualification process, etc.

(b) A self-assessment to identify gaps in compliance with Certification Program requirements and the actions required to come into full compliance. The Government may provide audit guides used for each of the Certification Programs governed by references (a) through (c) upon request.

(c) Development or revision of local procedures, job qualification requirements, and training material necessary to perform the Certification Program work

(d) Qualification of personnel

(e) Development of Technical Work Documents (TWDs) for performing Qualification Projects (These projects will be performed on non-Certification Program work, but will be prepared as if the work was Certification Program work.)

(f) Conduct of a Provisional Qualification Functional Audit by NAVSEA 07Q to assess the activity’s capability to perform the Certification Program work. The Provisional Qualification Audit will include:

1. A review of the Candidate Activity’s quality management system and quality assurance program and associated processes and procedures.

2. A review of the Candidate Activity’s local processes, procedures, training materials, and personnel qualification records associated with the Certification Program work.

3. A review of the Candidate Activity’s TWDs developed for Qualification Projects to ensure processes for developing, reviewing, approving, authorizing, and certifying work documents are formal and capture all required Objective Quality Evidence (OQE) for Certification Program work.

4. In-process audits of non-Certification Program work performed by the Candidate Activity utilizing approved TWDs and qualified craftsmen and inspectors (i.e., Qualification Projects). This work should consist of production work similar to the Certification Program work the Candidate Activity is requesting qualification to perform, or a mock-up of the Certification Program work. These audits will include an assessment of the Candidate Activity’s quality assurance oversight of the work and close-out review of the TWDs. These audits will also include an assessment of the Supervising Authority’s or Government oversight activity’s quality assurance oversight of the work being performed.

5. A review of the Candidate Activity’s non-production work (e.g., design, engineering, planning, or configuration management functions that involve the final review and approval of technical information), as applicable, to ensure processes are compliant with requirements.

6. A review of the Supervising Activity or Government oversight activity’s quality assurance procedures, practices, and associated products, as necessary.

(g) Satisfactory resolution of corrective actions from the Provisional Qualification Functional Audit.

c. Upon approval of the Request to Pursue Qualification and satisfactory completion of the Qualification Plan, NAVSEA 07Q, with Sponsor concurrence, will make a recommendation to NAVSEA 07 to provisionally qualify the Candidate Activity as capable of performing the Certification Program work defined in the Request to Pursue Qualification. After any identified concerns are resolved, NAVSEA 07 will notify the Candidate Activity via letter that they are provisionally qualified to perform the Certification Program work defined in the Request to Pursue Qualification, and update reference (d) accordingly. The Provisional Qualification indicates that the activity is authorized to perform the Certification Program work specified in reference (d) under the oversight of the Supervising Authority or Government oversight activity.

The Supervising Authority or Government oversight activity will identify, with NAVSEA concurrence, what oversight is required for an activity performing Certification Program work under the Provisional Qualification.

Note: NAVSEA reserves the option to grant Final Qualification based on the Provisional Qualification Audit, as warranted.

d. Upon successful completion of Certification Program work under its Provisional Qualification, the activity will submit a request to the Sponsor for NAVSEA to conduct a Qualification Functional Audit to support Final Qualification to perform the scope of work specified in reference (d).

e. Upon satisfactory resolution of findings of a Final Qualification Functional Audit, NAVSEA 07Q, with Sponsor concurrence, will make a recommendation to NAVSEA 07 to qualify the activity to perform Certification Program work. After any identified concerns are resolved, NAVSEA 07 will notify the activity via letter that it is qualified to perform the Certification Program work specified in reference (d). Reference (d) will be updated to reflect that the activity is fully qualified to perform the specified scope of work.

f. When an activity’s scope of qualification is limited, the Supervising Authority or Government oversight activity is responsible to ensure that the activity only performs the scope of work for which they are qualified.

g. An activity seeking to increase its scope of qualification to perform Certification Program work must submit a written request to the Supervising Authority or Government oversight activity who will forward with a recommendation to NAVSEA 07Q for action. Based upon the degree of change in scope, recent performance, and recommendation of the Supervising Authority, NAVSEA 07Q may approve the request directly or require conduct of any portion of the qualification process detailed in Section 7 of this instruction.

8. Post-Qualification Oversight. After completion of the qualification process, continued Government oversight is required to ensure that Certification Program work proficiency is maintained. The oversight requirements of paragraphs 8a through 8d of this instruction apply.

a. The Supervising Authority or Government oversight activity will establish and maintain a QA oversight process commensurate with the volume and complexity of certification program work the activity accomplishes. The oversight process will include periodic reviews of Certification Program work performance, internal management, work control proficiency, Certification Program work specific processes and procedures, and associated documentation.

b. Per reference (e), NAVSEA 07Q Functional Audits will assess the Qualified Activity’s continued compliance with Certification Program requirements, as well as the adequacy of the Supervising Authority’s or Government oversight activity’s oversight processes.

c. If the Supervising Authority or Government activity oversight indicates a significant adverse trend in an activity’s performance, or identifies a significant quality issue or unplanned event severely impacting the safety of a certified system or its operators, the Supervising

Authority or Government oversight activity will immediately notify NAVSEA 07Q and the cognizant Program Manager.

d. If it is determined that the activity’s performance warrants suspension of qualification, NAVSEA 07 will notify the activity in writing, via the Supervising Authority or Government oversight activity, of the reason for the suspension and will identify what actions are required to reinstate qualification.

9. Soliciting Certification Program Work. Solicitations for contracts or delivery orders for construction, maintenance, or repair of SUBSAFE, FBW SCS, or DSS-SOC assets need not require prospective bidders to be listed in reference (d); however, solicitations must include notification that the successful bidder must become at least provisionally qualified per this instruction prior to performing the Certification Program work or the requirements specified in paragraph 10 of this instruction must be met at that time of the award.

10. Contracting Work to Activities Not Listed in NAVSEANOTE 5000. In cases where the services of an activity not listed in reference (d) are required due to lack of a specific capability or capacity among Qualified Activities (and one of the exclusions of paragraph 4 of reference (d) does not apply), a Qualified Activity may contract the work to an activity not listed in reference

(d) provided the requirements of paragraphs 10a through 10e of this instruction are met.

a. For work to be performed within the SUBSAFE, FBW SCS, or DSS-SOC boundary onboard an in-service submarine or DSS asset, a Major non-conformance will be submitted by the Qualified Activity per reference (f) and approved by the applicable NAVSEA Program Manager with NAVSEA 07Q concurrence prior to authorizing the work. In the case where awaiting approval of the Major non-conformance could result in delay of mission-critical work, approval may be pursued concurrent with the performance of the work; however, the non-conformance must be approved prior to certification of the work. The non-conformance will identify the activity being contracted, the nature of the contracted work, and the reason for contracting the work with an activity not listed in reference (d), and include statements demonstrating compliance with the requirements of 10a(1) through 10a(7).

(1) The type and scope of work being contracted is within the Qualified Activity’s scope of qualification specified in reference (d).

(2) The quality history of the contracted activity has been verified to ensure that the activity has an adequate performance record and the appropriate level of oversight has been determined for the work being subcontracted.

(3) Contracts or subcontracts invoke all applicable specifications, certification program requirements, and associated Objective Quality Evidence (OQE) deliverables, per references (a), (b), and (c), as applicable. The contracted activity cannot further subcontract this shipboard work. The use of Contracted or Temporary Duty employees is acceptable although the request must identify the distribution of Prime Contractor, Subcontractor, and Temporary Duty employees required to conduct the work.

(4) The contracted activity has a Quality Management System (QMS) that complies with the requirements of reference (g) or the requirements of a Government-recognized equivalent quality program, or meets the QMS requirements that are contractually invoked on the Qualified Activity. (Third-party assessment or registration is not required.)

(5) OQE provided by the contracted activity will indicate compliance with applicable specifications invoked on the Qualified Activity for similar work. It is recommended that the Qualified Activity provide the contracted activity with suitable QA Forms and instructions to assist in fulfilling the specific OQE requirements. Records of all Certification Program work performed will be maintained by the Qualified Activity, or the Sustaining Activity for DSS-SOC, for the life of the submarine or DSS in a form suitable for audit.

(6) All contracted work will be accomplished under quality assurance oversight of the Qualified Activity (to include surveillance of in-process work). Appropriate authorities of the Qualified Activity will verify compliance with program requirements by reviewing, at a minimum, all applicable OQE (e.g., material, fabrication, joint assembly, testing, technical drawings, personnel and procedure qualifications, and other process OQE) that impacts SUBSAFE, FBW SCS, or DSS-SOC certification.

(7) Re-entry control packages (or, controlled work packages for FBW SCS work) will be initiated and fully certified by the Qualified Activity when required by reference (a), (b), or (c).

b. For work to be performed within the SUBSAFE, FBW SCS, or DSS-SOC boundary onboard a new construction submarine prior to initial certification for Unrestricted Operations or Unrestricted Use, and onboard new construction DSSs prior to authorization or certification for manned use, an Engineering Report, Work Permit, Ripout, Purchase Requisition, Purchase Request, or equivalent document may be used in lieu of a Major non-conformance to record the use of an activity not listed in reference (d). The document will contain the same information as the nonconformance cited in paragraphs 10a(1) through 10a(7) of this instruction.

c. For expected recurring use of activities not listed in reference (d) for Certification Program work onboard submarines or DSS assets, the Qualified Activity may request, by letter to NAVSEA 07Q via the cognizant Program Office on an annual basis, exemption from the requirement to initiate an individual non-conformance for each use of an activity not listed in reference (d). Prior to issuance of this letter, at least one use of the activity in the same manner will be approved via the process defined per paragraph 10a or 10b of this instruction. The letter will include all of the information required by paragraph 10a or 10b of this instruction. This letter may also be used to request approval to utilize contracted personnel for shipboard supervisory functions (e.g., Chief Test Engineers, etc.), as discussed in paragraphs 11a(2) and 11b(3) of this instruction.

d. For non-shipboard repair, rework, or maintenance of SUBSAFE, FBW SCS, or DSS- SOC components, a non-conformance is not required; however, the Qualified Activity will review the capabilities of the activity not listed in reference (d), the nature of the contracted work, and the reason for contracting out the work, and will document, by internal procedures or individual risk mitigation plans, compliance with the requirements identified in paragraphs 10a(1) through 10a(5) of this instruction. In addition, a Qualified Activity will conduct formal receipt inspections of the repaired or refurbished components to verify compliance with program requirements, including, at a minimum, a review of all applicable OQE (e.g., material, fabrication, joint assembly, testing, technical drawings, inspection, and other process OQE) that impacts SUBSAFE, FBW SCS, or DSS-SOC certification. The receipt inspections will be accomplished prior to installing the material into a certified system or placing the material into an Ready for Issue condition and the inspection will ensure that any certification attributes potentially affected by the repair activity’s work continue to meet all applicable specifications.

e. Qualified Activities will maintain an auditable list or tracking system of all SUBSAFE and DSS-SOC components and FBW Submarine Flight Critical Components sent for repairs or refurbishment to an activity not listed in reference (d). These lists or systems will include components for the past 2 calendar years or for the period since the last full functional audit, whichever is greater.

11. Contracted and Temporary Duty Personnel. In cases where a Qualified Activity needs to augment its workforce with contracted workers or temporary duty personnel from another activity to perform Certification Program work, the activity may do so subject to the conditions of paragraphs 11a through 11c of this instruction.

a. If personnel are contracted from an activity listed in reference (d), the contracting activity (Qualified Activity) will ensure that:

(1) Contracted personnel meet all training and qualification requirements (applicable to the work assignment) as if they were actual employees of the contracting activity.

(2) Contracted personnel perform work per the quality plan, all procedures (applicable to the work assignment), and the work control processes of the contracting activity. Contracted personnel will not supervise shipboard SUBSAFE, FBW SCS, or DSS-SOC work unless specifically identified and authorized in advance via a Major non-conformance approved by the applicable NAVSEA Program Manager with NAVSEA 07Q concurrence (or via the letter discussed in paragraph 10c of this instruction).

b. If personnel are contracted from an activity not listed in reference (d), the contracting activity (Qualified Activity) will ensure that:

(1) The SUBSAFE Program Director (SSPD), FBW Program Representative, or DSS Program Point of Contact, as applicable, of the contracting activity’s Supervising Authority is

NA VSEAINST 4855.34C

notified in writing prior to use. For DSS and FBW activities without an assigned Supervising Authority, the contracting activity will notify the applicable Program Manager for the asset being worked by contracted personnel in writing prior to use. (This requirement is not applicable to Type Commanders.)

(2) Contracted personnel meet all training and qualification requirements (applicable to the work assignment) as if they were actual employees of the contracting activity. A tailored qualification process may be developed to support contracted personnel qualifications if accepted by the cognizant NAVSEA Program Manager or Supervising Authority with NAVSEA 07Q concurrence.

(3) Contracted personnel work per the quality plan, all procedures (applicable to the work assignment), and the work control processes of the contracting activity. Contracted personnel will not supervise shipboard SUBSAFE, FBW SCS, or DSS-SOC work unless specifically identified and authorized in advance via a Major nonconformance approved by the applicable NAVSEA Program Manager with NAVSEA 07Q concurrence (or via the letter discussed in paragraph lOc of this instruction) .

c. In lieu of meeting the requirements of paragraph 11 a or 11 b of this instruction, the Qualified Activity may contract workers via a NAVSEA Program Manager-approved Memorandum of Agreement (MOA) or letter, with NA VSEA 07Q concurrence.

12. Delegation of Supervising Authority. Supervising Authority will not be delegated. Some functions normally performed by the Supervising Authority may be performed by another Qualified Activity when agreed to via MOA; however, the Supervising Authority responsibility will remain with the Supervising Authority designated by reference (d).

13. Records Management. Records created as a result of this notice, regardless of media or format, must be managed per Secretary of the Navy Manual 5210.1 of January 2012.

14. Review and Effective Date. NA VSEA 07Q will review this instruction annually on the anniversary of the effective date to ensure applicability, currency, and consistency with Federal, DoD, SECNAV, and Navy policy and statutory authority using OPNAV 5215/40 Review of Instruction. This instruction will automatically expire 5 years after effective date unless reissued or otherwise canceled prior to the 5-year anniversary date, or an extension has been granted.

15. Point of Contact. The NAVSEA point of contact for this instruction is Mr. Jason Swistak (SEA 07Q21) at (COM) (202) 781-3087, (DSN) 326-3087, (E-mail)jason.swistak@navy.mil.

M·~ M. DELTORO ill Deputy Commander Undersea Warfare

Releasability and distribution:

This notice is cleared for public release and is available electronically only via Department of the Navy Issuances Web site, http://doni/documentservices/dla.mil.