Attachment 3 - NAVSEAINSTR 4855.34B.pdf

DEPARTMENT OF THE NAVY

NAVAL SEA SYSTEMS COMMAND

13331SAAC HULL AVENUE SE

WASHINGTON NAVY YARD DC 20376-0001 IN REPLY REFER TO

NAVSEAINST 4855.34B

Ser 07Q2/0521 8 Sep 11

NAVSEA INSTRUCTION 4855.34B

From: Commander, Naval Sea Systems Command

Subj: QUALIFICATION OF ACTIVITIES TO PERFORM SUBSAFE, FLY-BY

WIRE SHIP CONTROL SYSTEMS, AND DEEP SUBMERGENCE SYSTEMS

SCOPE OF CERTIFICATION WORK; PROCEDURES FOR

Ref: (a) NAVSEA 0924-062-0010, Submarine Safety (SUBSAFE) Requirements Manual

(b) NAVSEA T9044-AD-MAN-010, Requirements Manual for Submarine Fly-By-Wire Ship Control Systems

(c) NAVSEA SS800-AG-MAN-010/P-9290, System Certification Procedures and Criteria Manual for Deep Submergence Systems

(d) NAVSEANOTE 5000, ACTIVITIES AUTHORIZED TO PERFORM

SUBSAFE, FBW-SCS, AND DSS-SOC WORK

(e) NAVSEAINST 4855.35, NAVSEA Functional Audit Program

1. Purpose. To establish policy, methodology, and processes for evaluation and qualification of activities to perform SUBSAFE, Fly-By-Wire Ship Control Systems (FBW SCS) , and Deep Submergence Systems Scope of Certification (DSS-SOC) work. For purposes of this instruction, the term "Certification Programs" will be used to encompass the SUBSAFE, FBW SCS, and DSS-SOC certification programs.

2. Cancellation. This revision supersedes NAVSEAINST 4855.34A of 6 November 2006. This is a complete revision of this instruction, and should be read in its entirety.

3. Background. The number and types of activities performing submarine and DSS asset maintenance and alteration work continues to increase. Both public and private shipyards, laboratories, maintenance activities, and private vendors all are being tasked with performing work on critical systems.

Activities performing Certification Program work require evaluation of their capabilities to ensure the activity is capable of consistently meeting all applicable reference (a), (b), or (c) requirements.

NAVSEAINST 4855.348

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a . References (a ), (b), and (c) require activities performing Certification Program work to formally control work within the applicable certification boundary, to ensure all systems are built and maintained in a certified condition in order for the submarine or DSS asset to operate safely, and to allow its authorization for Unrestricted Operations (URO) or manned use. Activities authorized to perform Certification Program work are required to incorporate all higher-tier Certification Program requirements into the activity's local policies, procedures, and work practices.

b. This instruction provides a uniform standard by which activities are evaluated prior to granting or modifying an activity's authorization to perform Certification Program work as described in reference (d) .

c. The process for achieving or expanding qualification must be formal, disciplined, and tailored to the nature of the work to be performed by the activity. The decision to qualify an activity to perform Certification Program work must be based on a detailed analysis of Certification Program workload requirements, and the candidate activity's ability to fulfill the needs of the Navy.

d. This qualification program is not intended to and thus shall not limit or circumvent any contract competition requirements. Instead, it is intended to provide a consistent and fair basis for determining the ability of potential bidders to fully meet all certification requirements.

e. Deviations from the qualification process outlined in this instruction may be approved on a case-by-case basis by a NAVSEA Program Manager, with System Certification Authority (SCA) concurrence. However, all qualified activities listed in reference (d) shall still be subject to periodic Functional Audits by NAVSEA 07Q, for as long as they remain authorized to perform Certification Program work.

4. Scope. This instruction is applicable to all activities performing routine SUBSAFE, Fly-By-Wire Ship Control System (FBW-SCS), and Deep Submergence Systems Scope of Certification (DSS-SOC) work requiring qualification per references (a) through (d) .

NAVSEAINST 4855 . 348

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5 . Definitions .

a. Qualification. The initial acceptance by the Government of an activity's quality program, work practices and procedures, indicating that NAVSEA has determined the activity is capable of consistently meeting all Certification Program requirements.

b . Authorization. The specific authority granted by NAVSEA or the Supervising Authority to an activity to perform Certification Program work. An activity's authorization may be limited in scope to include only certain types of work or specific systems. Authorization for all activities performing Certification Program work is provided by reference (d) .

c. Suspension of Qualification. A temporary prohibition against performing Certification Program work by an activity.

An activity's qualification may be suspended due to an adverse trend in performance (e.g., as indicated by two or more successive Functional Audits with the same areas needing improvement), a significant quality issue or unplanned event severely impacting the safety of a certified system or its operators, or when an activity has not performed any Certification Program work for a period of greater than two years. An activity whose qualification has been suspended shall be formally re-qualified, either using the certification process outlined in this instruction, or by an alternative process agreed to by a NAVSEA Program Manager, the applicable Supervising Authority, and NAVSEA 07.

d. Government Sponsor. A Government activity qualified to perform certification work in accordance with this instruction and listed on reference (d) .

6. Candidate Activity Responsibilities. An activity seeking new qualification or increased authorization to perform Certification Program work shall:

a. Submit a written request for qualification to the assigned Program Manager, or NAVSEA 07Q if not currently under contract with a Program Manager. This written request should detail the specific type of certification program work the activity is requesting qualification to perform, and on which type(s) of systems (e.g., hull attachment welds on all Submarine classes, NOT inspections on Dry Deck Shelters, FBW software updates on SEAWOLF Class Submarines, etc.).

SEP 8.2011

b . Develop a written Pla n of Action and Milestones (POA&M ) to achieve qualification covering all applicable elements of paragraph 10 below, and submit to the assigned Government Sponsor for approval. This plan shall include demonstrations of the activity's work processes, core capabilities, and associated skill elements via production work or mock-up projects.

c. Provide all funding for the activity's projected qualification expenses, including labor and material costs for executing the qualification projects.

d. Provide the following support for the pre-Qualification Functional Audit:

(1) Provide meeting space, facility access, and copies of all local process instructions and procedures for the NAVSEA 07Q audit team in accordance with reference (e).

(2) Prepare appropriate technical work documents (TWOs) to accomplish all qualification projects planned for the pre Qualification Audit.

(3) Provide oversight of the qualification projects, using the candidate activity's supervisors, Quality Assurance (QA) specialists, etc., even if shipboard work is also being overseen by another activity listed in reference (d).

(4) For shipboard demonstration projects, when the projects involve work within certification boundaries, an authorized activity per reference (d) shall be fully responsible for the quality of the work, and must sig0 all applicable certification documentation. The candidate activity shall:

(a) Review all TWOs. The candidate activity will initial in the signature blocks for work package review and work authorization approval processes, but shall not sign for final approval.

(b) Perform each qualification project using qualified craftsmen/inspectors, under the direct supervision of qualified Trade Skill and QA personnel from a reference (d) qualified activity.

(c) Perform closeout reviews of all TWOs. The activity will initial in the signature blocks for review and close-out processes, but shall not sign for final closure certification.

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(5 ) Determine the root cause (s ) and take effective short and long term corrective actions to resolve any certification or non-compliance deficiencies noted during the audit.

(6) The candidate activity shall conduct self assessments and trend analysis of their QA program to identify weaknesses. The self assessment and a trend analysis shall be conducted no less than once in each 12 month period. Report the results of self assessments, trend analysis and action taken to the assigned Government Sponsor and NAVSEA 07Q within 45 days of completing the assessment.

7. Authorized Activity Responsibilities. For cases where an activity seeking new qualification or increased authorization t o perform work intends to perform demonstration projects on a certified system, the Government Sponsor shall assign an activity currently authorized to perform the same type of work per reference (d) to provide oversight of the candidate activity's work. The assigned Authorized Activity shall:

a. Review candidate activity's TWOs for all qualification projects to be performed on a certified system.

b. Sign all applicable certification documentation for the work performed.

c. Ensure candidate activity initials in the signature blocks for work package review and work authorization approval processes, but does not sign for final approval. The Authorized Activity shall sign all final approval blocks.

d. Directly supervise candidate activity's qualified Trade Skill and QA personnel.

e. Ensure candidate activity performs closeout reviews of all TWOs, and initials in the signature blocks for review and close-out processes, but does not sign for final closure. The Authorized Activity shall sign for final close-out of the REC package or TWO.

8 . NAVSEA 07Q Responsibilities. NAVSEA 07Q shall provide clear guidance and coordinate actions for implementing the qualification process. NAVSEA 07Q shall review and concur with the activity's POA&M and associated qualification plan. The plan should include all elements outlined in paragraph 10 below.

In coordination with the activity seeking qualification and the Government Sponsor, NAVSEA 07Q shall:

a. For qualification requests submitted by companies seeking new or expanded qualification, identify a Program Office (or other appropriate Government activity) willing to act as a Government Sponsor for that activity's qualification effort.

b. Based on the recommendation provided by the Government Sponsor per paragraphs 9.a and 9.b below, respond in writing to the candidate activity's qualification request and POA&M with NAVSEA's concurrence or non-concurrence with continuing the qualification process. Concurrence letters may be signed by NAVSEA 07Q or the assigned Government Sponsor. Non-concurrence letters shall be signed by NAVSEA 07.

c. Evaluate and document the candidate activity's personnel skills, capabilities, training and qualification programs.

d. Provide trade skill and level-of-knowledge expectations to the Government Sponsor and candidate activity.

e. Conduct a pre-qualification Functional Audit of the candidate activity using auditing techniques and reporting methodologies as described in reference (e). This Audit shall:

(1) Review a sample of the activity's TWOs used in the previous year (or preliminary TWOs developed for the qualification projects) to ensure processes for developing work packages, reviewing and authorizing work are formal and capture all required Objective Quality Evidence (OQE) .

(2) Review actions taken by the candidate activity to address QA program weaknesses identified during the activity's trend analysis, self-assessments (e.g., internal audits) or external audits (e.g., IS0-9001 audits), and assess effectiveness of long term corrective actions taken.

(3) Witness conduct of qualification projects by the candidate activity.

Note: To the maximum extent possible, these projects shall be scheduled concurrent with the pre-qualification Functional Audit. If schedules do not permit all qualification projects to be observed during the audit, schedule a supplemental audit to assess all remaining qualification projects not observed during the audit.

f. Maintain OQE of the initial or expansion qualification process, including the documented POA&M and the results from individual qualification skill demonstration projects. OQE shall be maintained in an auditable fashion and retained for as long as the activity remains qualified. Records may be retained in hard copy or stored electronically.

g. Issue a Letter of Qualification (or Letter of Expansion of Qualification), with concurrence by NAVSEA 07.

h. If applicable, establish limits on the qualified activity's authority to perform Certification Program work, and include these limits in an updated reference (d).

i. During ongoing NAVSEA 07Q Functional Audits, assess each qualified activity's local policies, procedures, and work practices to ensure they remain in compliance with all higher tier requirements.

9. Government Sponsor Responsibilities. Each candidate activity shall request sponsorship by a NAVSEA Program Office or other Government activity listed in reference (d). The Sponsor is responsible for providing funding and other resources needed to cover the Government's expenses incurred during the qualification process. Additionally, the Government Sponsor shall:

a. For activities requesting an initial qualification, perform an initial analysis justifying the time and expense associated with qualifying a new activity to perform Certification Program work, based on: a submarine or DSS asset work load to workforce imbalance within a region, a lack of sufficient qualified activities to meet the needs of the Navy, or an activity's unique area of excellence in quality or performance that will benefit the overall certification program.

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b. For activities seeking to expand their existing qualification and authorization per reference (d), review the company's past performance history, examples of similar work on non-certified systems, process instructions and procedures, etc.

to determine if the company has the necessary skills to meet all program requirements for the expanded authorization.

c. Provide NAVSEA 07Q a written recommendation on whether or not to qualify the new activity or expand the company's existing authorization.

d. With NAVSEA 07Q's concurrence, develop a Memorandum of Agreement (MOA) between the Government Sponsor and candidate activity to define the Government Sponsor's oversight functions and responsibilities both during and after the initial qualification process. For activities seeking qualification to perform SUBSAFE and FBW-SCS work, the MOA shall identify the activity that will become the candidate activity's Supervising Authority following initial qualification, and shall include all Supervising Authority responsibilities defined in references (a) and (b) . In most cases, the Government Sponsor will become the assigned Supervising Authority.

e. Provide funding for travel and other projected costs to be incurred by NAVSEA during the activity's qualification process.

f. Review and approve the candidate activity's qualification plan and POA&M with NAVSEA 07Q concurrence.

g. Conduct periodic visits at a periodicity agreed to with the candidate activity in the POA&M to monitor the candidate activity's progress towards qualification.

10. Qualification Plan. Qualification plans should include the following minimum attributes:

a. Qualification Projects Definition and Scope: Proposed qualification project(s) using mock-ups, or actual production work will be selected to demonstrate the desired core capabilities and skill elements. For each proposed qualification project, the candidate activity shall distill each project into its critical skill elements and define how the attributes of each skill element will be demonstrated. The following is a list of potential projects that a candidate activity may be required to demonstrate:

NAVSEAI NST 4855 . 34B

(Note : The actual p ro j ects required will vary d e pendi ng o n the nature of the Certification Program wo rk the Navy intends to qualify the activity to perform . )

(1) Pressure hull welding (e.g., HY-80 weld)

(2) Critical pipe welding (e.g., P-1 pipe weld)

(3) Valve repair

(4) Periscope removal and reinstallation

(5) Rebuild of periscope dashpots

(6) Electrical hull fitting removal and reinstallation

(7) Pump repair

(8) Rubber insert sound isolation coupling rebuild

(9) Hydraulic valve actuator repair

(10) Stern planes ram packing replacement

(11) R-114/R236fa head removal/reinstallation

( 12) Silver brazing

(13) Certify Certification Program materials (e.g., LI, DSS, SFCC)

(14) URO Maintenance Requirements Cards (URO MRC) or Hull Integrity Procedure (HIP) inspections

(15) Non-Destructive Testing (NOT) inspections

(16) Submarine Flight Critical Component (SFCC) Electro Static Discharge (ESD) prevention practices

(17) SFCC removal and installation practices

(18) Oxygen (02 ) and Critical Breathing Gas System cleaning practices

(19) Certification Program completion and re certification testing

NAVSEAI NST 4855 . 348

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b. Candidate Activity Pre-Qualification Functional Audit

Schedule.

(1) The candidate activity's POA&M shall include proposed dates for the pre-Qualification Functional Audit.

These audits shall be scheduled for a minimum of five working days.

(2) The candidate activity's POA&M shall also include the schedule for all demonstration projects to be witnessed during the pre-Qualification Functional Audit.

c. Pre-Qualification Functional Audit Findings Resolution Phase.

(1) The candidate activity's POA&M shall include sufficient time to resolve all deficiencies noted during the pre-Qualification Functional Audit. This shall include sufficient time for both short- and long-term corrective actions to be fully implemented, and their effectiveness assessed.

(2) The candidate activity's POA&M shall also include the schedule for those qualification projects that are unable to be observed during the pre-Qualification Functional Audit.

d. Desired Date for Final Qualification.

(1) The candidate activity's POA&M shall include the desired date for final Qualification. All other dates should work backwards from this desired Qualification date.

(2) If the candidate activity's contract includes a timeframe within which the activity is allowed to perform work while pursuing qualification, the desired date for final Qualification shall not exceed the timeframe allowed by contract. The candidate activity may perform certification program work during this period. Work performed during this interim period shall be subject to review during the NAVSEA pre Qualification audit or other audits or surveys of the asset. If the activity is not able to become fully qualified by the date specified in the contract, all certification program work shall be immediately discontinued until the activity is fully qualified.

NAVSEAINST 4855 . 348

11 . Ongoing Performance Reviews. After comp letion of the qualification process, continued overs ight by the a s s i g ne d Supervising Authority for activities pe rforming SUBSAFE a nd FBW SCS work (or other Government activity assigned by t h e NAVSEA Program Manager with NAVSEA 07Q concurr ence for oss-soc wor k) and NAVSEA 07Q is required to ensure that Certific atio n Progra m work proficiency is maintained.

a. The Supervising Authority/Government Sponsor shall establish and maintain a QA oversight process commensurate with the amount and type of certification program work the activity accomplishes. The oversight process will include periodic reviews of Certification Program work performance, internal management, work control proficiency, and documentation.

b. Per reference (e), NAVSEA 07Q Functional Audits shall assess the qualified activity's continued compliance with Certification Program requirements, as well as the adequacy of the Supervising Authority's oversight processes.

c. If the Supervising Authority/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/Government oversight activity shall immediately notify NAVSEA 07Q.

(1) When NAVSEA 07Q determines that an adverse trend in an activity's performance or a significant quality issue warrants suspension of an activity's qualification, NAVSEA 07Q shall notify the activity in writing, via the Supervising Authority/Government oversight activity, of the reason for the suspension.

(2) Within 30 days of receiving the notification of suspension of qualification, the activity shall provide to NAVSEA 07Q (via the applicable Supervising Authority/Government oversight activity) a plan of action and milestones for addressing the root cause of the performance issues, implementing corrective and preventive actions, and demonstrating that those actions have effectively restored the activity's ability to meet all Certification Program requirements.

NAVSEAINST 4855.34B

(3) The activity shall be responsible for providing funding necessary to support additional demonstration projects, functional audits, etc. necessary to demonstrate that the activity's ability to meet all Certification Program requirements has been fully restored. The Government shall not be held liable for any additional costs associated with the activity's efforts to bring their work practices back into line with the contractual Certification Program requirements.

9~0~ RDML ( Sel) , USN

Distribution:

SNDL 20A COMUSFLTFORCOM Norfolk VA (N4/N43)

21A2 COMPACFLT PEARL HARBOR HI (N4/N43)

2382 COMNAVSPECWARCOM Coronado, CA (N84) 24G Submarine Force Commanders 26D2 SDV TEAM ONE Pearl City, HI 26QQ1 COMNAVWARGRU THREE DET Little Creek, VA

26QQ2 NAVSPECWARGRU THREE LOGSUPPU PEARL HARBOR HI

26VV Submarine Force Shipyard Representatives 28Kl Submarine Groups and Squadrons

NSSC KINGS BAY GA

NSSC NORFOLK VA

NSSC GROTON CT

28K2 COMSUBDEVRON FIVE SILVERDALE WA

NSSC BANGOR WA

29N 29Q

32DD

AlJlN

C4NN

NSSC PEARL HARBOR HI

Submarine (SSN) Fleet Ballistic Missile Submarine (SSBN) Submarine Tender (AS) PEO SUB (SUB, SUB-B, 394, 3948, 394Al4, 397, 397B, 399, 399B, 401, 425, 435, 450, 450B, 450Al, 450C, 450Tl, 450T4)

NAVSEASY REP

FA50 TRIREFFAC KINGS BAY GA

FB30 NAVSHIPREPFAC Yokosuka, JA FF8 Board of Inspection and Survey FKAlF COMNAVSUPSYS FKAlG Sea Systems Command (05B, OSE, 05H, OSJ, OSL, 05P, 05U, 05Ul, 05U3, 05U5, 05V, 05W, 05X, 05Y, 04, 04X, 04Xl, 04XQ, 08, 08D, 08E, 08LIB, 07, 07B, 07L, 07Q, 07QB, 93, 93R, 340, 340B, 392, 392B, 392Al, 392A2, 392A23, 392A3, 392A4, 392C, 392T, 392TC, 392TIC)

NAVSEAINST 4855 . 34B

Distribution (Cont ' d ):

FKM14 NAVAL SUPPLY SYSTEMS COMMAND WEAPON SYSTEMS SUPPORT

FKP3 REGIONAL MAINTENANCE CENTERS

FKP4E NAVSURFWARCENDIV PORT HUENEME

FKP4G NAVSURFWARCENDIV CARDEROCK/Ship Systems Engineering

Station

FKP4E NAVSURFWARCENDIV CARDEROCK BETHESDA MD (5600)

FKP7 Shipyard FKP8 Supervisor of Shipbuilding, Conversion and Repair, USN FKP21 Sea Logistics Center

FKP26 SUBMEPP

FRlO Naval and Marine Corps Reserve Center FT38 Submarine Training Center

FT85 TRITRAFAC

FT95 Submarine Training Facility

American Bureau of Shipping, Corporate and American Division, Houston, TX (P. Rai)

Electric Boat Corporation, Groton, CT (J. Noonan, Dept. 320, EBCorp Data Bank)

Newport News Shipbuilding, Newport News, VA (S. Coons, Dept. 030)

Oceaneering International, Inc., Marine Services Division, Chesapeake VA (W. Proctor)

Lockheed Martin Maritime Systems & Sensors, Syracuse, NY (J.

Shanahan)

DCMA NSEO CMO (R. Kennedy) DDL OMNI Engineering, LLC (T. Keaney, J. Leckie) OceanWorks International Corp., Vancouver, BC (D. Brown) Phoenix International Holdings, Inc. (L. Southerland, P.

Peterson) Southwest Research Institute, San Antonio, TX The Charles Stark Draper Laboratory, Inc., Cambridge, MA

(J. Parry) Woods Hole Oceanographic Institution, Woods Hole, MA (J. Hickey) SPAWARSYSCEN SAN DIEGO CA (Code 2745) SHAPEC SSN688CL, Portsmouth NH Naval Undersea Warfare Center Division, Newport RI Naval Surface Warfare Center Division, Panama City FL