Attachment 8 PTD Requirements Addendum.pdf

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PTD Addendum

1. Introduction. This Addendum for Provisioning Technical Documentation (PTD) Requirements is provided for use with the basic provisioning specifications of the contract and contains information tailored to the acquisition PTD to satisfy specific Navy requirements. This addendum takes precedence over any other documentation related to PTD requirements. Any questions regarding this

Addendum for PTD Requirements should be referred to the cognizant NAVSEA Technical Support

Activity (TSA) for resolution.

2. Provisioning Technical Documentation (PTD). PTD is required for all systems or equipment acquired for Navy use which have machinery or electronic circuitry parts that are subject to wear out, failure, or replacement and will require maintenance at the Organizational, Intermediate, or Depot (O, I, or D) level of maintenance. PTD shall be prepared for each unit (system, equipment, assembly, component) that:

a. is assigned a Provisioning Contract Control Number (PCCN);

b. is described by its own nomenclature;

c. performs an identifiable function;

d. can be removed from a system and operated independently;

e. can be replaced by a like unit without degradation to the system as a whole; and

f. is identifiable by an engineering drawing with a plan and piece number of its own.

3. PTD Development and Delivery. Delivery of PTD must be in a format and media compatible with the government’s Interactive Computer Aided Provisioning System (ICAPS) as specified in the

Navy’s LMI Worksheet Attachment 1. ICAPS was developed by the government for the purpose of developing and transmitting provisioning related data. It is available free of charge to contractor personnel as well as government agencies. Contractors are encouraged to take advantage of the opportunity to utilize this software which would eliminate any concern about compatibility of the contractor’s system with ICAPS. Two versions of ICAPS are currently available. ICAPS Personal

Computer (PC) has incorporated the ability to produce formatted outputs that facilitate transmission of data from one provisioning activity to another. ICAPS Mainframe (MF) is a real-time database that enables all provisioning related activities to access and manipulate the data in the database.

Although use of ICAPS simplifies the verification of the data development and submission process, the contractor has the latitude to utilize any system for development of the data.

4. Engineering Data for Provisioning. EDFP is required for all systems and equipment that are acquired for Navy use and for which PTD is acquired. EDFP is the data acquired by contract to support LMI supportability analysis. It is the technical data which provides definitive identification of dimensional, material, mechanical, electrical, or other characteristics adequate for provisioning of the support items of the end article(s) on contract. EDFP consists of but is not limited to data such as specifications, standards, drawings, photographs, sketches and descriptions, and the necessary assembly and general arrangement drawings, schematics, drawings, schematic diagrams, wiring and cable diagrams, etc.

This data is necessary for the assignment of Source, Maintenance, and Recoverability (SMR) codes to assignment of Item Management Codes, prevention of proliferation of identical items in the Government inventory, maintenance decisions, and item identification necessary in the assignment of a National

Stock Number (NSN).

EDFP is used to accomplish the provisioning process and is required to perform provisioning when

MIL-DTL-31000C is not on contract. It is important to emphasize that DOD policy is to use the existing Technical Data Package MIL-DTL-31000C contract requirements, if part of the contract, to

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support the provisioning process. Generally, this can be done by acquiring copies of products being developed for the MIL-DTL-31000C DIDs (DI-SESS-81000C or DI-SSES-81003C) at the time of the provisioning events for cost of reproduction and delivery without regard to completeness of the drawing. EDFP shall be provided from the Technical Data Package CDRLs for DIDs DI-SESS-

81000C or DI-SSES-81003C tailored to support the provisioning process and delivered concurrent with PTD. However, if CDRLs for these two DIDs are not part of the contract, the Contractor shall provide the EDFP in accordance with CDRL(s) for DID DI-ALSS-81530. EDFP shall not be provided when the item is identified in the Defense Integrated Data System with a type item identification of 1, 1A (K), or 1B (L) or (3) the item is listed as a reference item (subsequent appearance of an item on a parts list).

5. PTD Submission Schedules. PTD will be delivered as specified for the following commodity types.

Small Boats and Crafts

For mission critical systems and equipment requiring LMI supportability analysis, PTD is due to the Government 180 days after release of the purchase order for delivery or fabrication.

For systems and equipment not requiring LMI supportability analysis, PTD is due 60 days after release of the purchase order for delivery or fabrication.

PTD submissions shall be entered into a configuration database in accordance with local procedures.

Shipbuilding and Conversion

A PTD Submission Schedule (PTDSS) shall be submitted in accordance with the following guidelines. For those systems and equipment requiring LMI supportability analysis, PTD is due to the Government 180 days after release of the purchase order for manufacture; for those not requiring LMI supportability analysis, PTD is due 60 days after release of the purchase order for manufacture. After consideration of these PTD submission requirements, the contractor shall develop a PTD Submission Schedule to comply with the criteria set forth as follows:

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Conversion

New Construction New Construction Activation

PTD Due Date Over 36 Months* Less Than 36 Months* Modernization

Lead Follow Lead Follow

Ship Ship Ship Ship

30 months prior 60% 70% N/A N/A to ship delivery

24 months prior 80% 90% 40% 50%

18 months prior 90% 95% 60% 70%

4 months prior 100% 100% 100% 100% 100% to load COSAL cutoff

* This refers to the length of the construction period. The construction period extends from date of construction contract award to contract delivery date.

The PTD Submission Schedule shall, at a minimum, consist of a graph developed from the ratio of anticipated monthly PTD submissions for the acquisition. This graph shall be plotted across a timeline depicting the length of construction period in months. PTD submissions shall be entered into a configuration database by the contractor, in accordance with local procedures, for monitoring.

Ship Overhaul and Availability Contracts

PTD is required as a separate line item in the basic contract and shall be delivered to the

Government within sixty (60) days after release of each equipment purchase order for delivery or fabrication.

6. PTD Sequencing. Individual Provisioning List Item Sequence Numbers (PLISNs) shall be sequenced by one of the following methods:

a. Electronic Systems and Equipment. PTD for electronic systems and equipment shall be sequenced by reference designation.

b. Non-electronic Systems and Equipment. PTD for non-electronic systems and equipment shall be sequenced by indenture code.

c. Non-electronic Systems and Equipment having Electronic Components that are Designed with Reference Designations. Any non-electronic systems or equipment containing electronic components shall be sequenced by indenture code; however, the PTD for the electronic components in these systems or equipment shall be sequenced by reference designation.

7. Component Identification Data. Component Identification Data (CID) shall be submitted for all systems and equipment and shall be delivered concurrently with every submittal of Data Product

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Deliverable. CID shall be prepared in accordance with the SOW, LMI Worksheet and LMI Worksheet

Attachment 2 supplemental requirements for all configuration items that comprise one of the following criteria. Questions concerning applicability of this requirement shall be directed to the TSA at the

Provisioning Guidance Conference (PGC) or prior to delivery of the PTD.

a. CID for Provisioning Header Data. CID (Sections A, B, C and D of LMI Worksheet Attachment

2) shall be submitted for each PCCN for every provisioning project. CID for Provisioning Header

Data is required for each PTD/PPL, SLPPL/PPL, DCN/PPL developed (see paragraphs 2, 8, and

15). This data shall provide sufficient end item information to identify the system or equipment, applicable contract, and the planned installations.

b. CID for Statement of Prior Submission (SPS). The Contractor will submit SPS certifying that

PTD which will satisfy the PTD requirements of this contract has been previously furnished to the Government and has been approved. To satisfy the data and delivery requirements of SPS for

GFE and CFE, the Contractor shall submit CID (Sections A, B, C, D and E of LMI Worksheet

Attachment 2). The SPS shall apply to the equipment or end item. The SPS will provide total identification of a system or equipment, as well as the procurement document number under which PTD was previously submitted.

c CID for Advance Repairable Identification Code (RIC). CID (Sections A, B, C and D of LMI

Worksheet Attachment 2) is required to have an Advance RIC assigned by the Government. See the SOW for specific data requirements for the Characteristics Data field found in Section B of

LMI Worksheet Attachment 2. The need for Advance RICs will be determined by the

Government and guidance will be provided to the contractor.

8. Ship Level Provisioning Parts List (SLPPL). Provisioning Parts List (PPL) shall be prepared to the ship level. A SLPPL shall contain miscellaneous parts and items that are not included in individual equipment or component (unit) provisioning data or Common and Bulk Items List (CBIL). SLPPL items are not associated with a specific parent system or equipment; however, they can be related to an overall ship system and they are used to develop the 89000 Series APLs. All items part of SLPPL shall be segregated by their application to basic ship functions as identified by the following Ship

Work Breakdown Structure (SWBS):

SWBS Code Functional Title

100 Hull Structure

200 Propulsion Plant

300 Electric Plant

400 Command and Surveillance

500 Auxiliary Systems

600 Outfit and Furnishings

700 Armament

800 Integration/Engineering

900 Ship Assembly and Support Services

At a minimum, a separate SLPPL shall be prepared for each SWBS code listed above. An item having multiple applications shall be listed in each SLPPL for each ship level SWBS code in which it is used.

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The requirement for a SLPPL applies to New Construction, Availability, and Boat and Craft contracts only.

9. System Configuration Provisioning List (SCPL). The SCPL establishes a “family tree” relationship of components to the end item (system). This is required for GF end items (systems) only. The GF SCPL will detail each separate appearance of the component level items that comprise the end item (system) and will also list all attaching parts used to integrate the component level items into the end item (system). These attaching parts should not be included in the individual component level item PPL.

10. Source, Maintenance and Recoverability (SMR) Code. When tasked to assign SMR codes, the contractor shall develop them in accordance with the description and application of the joint services uniform SMR codes for Navy use contained in Appendix A to reflect the Government approved maintenance philosophy.

11. Technical Replacement Factors (TRFs). The contractor shall compute a TRF. Appendix B provides recommended guidelines for this computation. TRFs shall be reported in the Maintenance

Replacement Rate I (MRRI) block according to the Navy’s required provisioning data product format

(see LMI Worksheet Attachment 1).

12. Essentiality Codes (ECs). The contractor shall assign ECs. Appendix C provides recommended guidelines for this assignment process. ECs shall be reported in the Essentiality Code (EC) block according to the Navy’s required provisioning data format (see LMI Worksheet Attachment 1).

13. Reference Designators. For end items requiring a top-down breakdown by means of reference designation, the contractor shall assign reference designators. Appendix D provides an example of a breakdown in an electronic equipment, and illustrates the relationships between Reference

Designation, Quantity per Assembly, Quantity per End Item, and Part Number or Reference Number.

14. Indenture Code. The contractor shall assign indenture codes for all provisioning packages.

Appendix E provides an example of a breakdown in a HM&E equipment, and illustrates the relationship between Indenture Code, Quantity per Assembly, Quantity per End Item, and Part

Number or Reference Number.

15. Design Change Notice (DCN). The contractor shall notify the TSA of all changes, whether of a production or modification type, which are approved for incorporation into the end item and which modify, add to, delete, or supersede parts in the end item or its supporting equipment. When an approved engineering design or production change requires new identification as specified in DoD-

STD-00100D (AR), paragraph 402.14, the contractor shall submit PTD revisions via DCNs in accordance with the following:

a. When the approved change affects interchangeable repairable assemblies so as to introduce non-interchangeable parts, identify the part number before the change as a deletion and the part number after the change as an addition.

b. Change and document the part number of the next higher assembly, and those of all progressively higher assemblies, up to the assembly where interchangeability is reestablished. PTD shall include the interchangeable assembly.

c. EDFP is not required for deleted items.

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d. Changes that occur after PTD has been delivered shall be documented as a revision to the applicable PTD.

e. When the design change significantly impacts the system or equipment configuration, and when directed by the Administrative Contracting Officer, a changed system or equipment shall be provisioned as a new end item and documented by PTD with associated EDFP.

16. Allowance Parts List Worthiness Rules. The contractor shall follow Appendix F guidelines in determining the need for furnishing PTD for Contractor Furnished Equipment (CFE). Any equipment not falling under these rules shall be referred to the TSA to determine if PTD is to be submitted.

17. Tools and Test Equipment. Tools and test equipment built in as an integral part of the equipment shall always be included in the PPL for the equipment.

18. Provisioned Item Order. If the Government elects to procure support items from the contractor, the

Government will release an initial basic PIO for the required support items. If concurrent delivery is required and such delivery necessitates a delay in the delivery of the end items or components, an adjustment in the delivery requirements will be considered. The Government reserves the right to place additional orders for support items during the life of the contract.

19. Interactive Computer Aided Provisioning System (ICAPS). The hardware contractor may choose to utilize ICAPS as the method of developing and processing PTD to the Government. It is available free of charge to contractor personnel as well as government agencies. Contractors are encouraged to take advantage of the opportunity to utilize this software which would eliminate any concern about compatibility of the contractor’s system with ICAPS. Two versions of ICAPS are available for use: mainframe and PC. User training for ICAPS is available at no cost to the contractor. The Government will provide the PC software upon request and will assist with obtaining access to the mainframe if required. The Government will also provide user’s manuals to assist with the use of the software.

20. Use of a Non-ICAPS Database. The Navy requires the PTD to be delivered in a format accepted by ICAPS. The ICAPS software is designed to support and accept data in MIL-

STD-1552A and MIL-STD-1388-2A/2B (LSA-036) and LMI formats. LMI format is defined in the

LMI Worksheet Attachment 1 . If a non-ICAPS system is utilized, it must be able to produce a structured formatted text or flat file in accordance with the direction contained in Attachment 1 to the

LMI Worksheet. Incremental data submissions are possible, but only at the component level. The appropriate CDRLs must be invoked to obtain the desired provisioning deliverables.

21. LMI Worksheet. The LMI Worksheet with Attachments 1 and 2 provides a vehicle for identifying the required LMI data elements to be completed and, when applicable, the media of delivery (floppy disk, CD, electronic transfer, etc.). The worksheet identifies the specific data elements that are required.

23. LMI Summary for EDFP. The LMI Summary for Engineering Data For Provisioning (EDFP) may be included in the contract if necessary, as it describes/defines the data requirements and format necessary for the delivery of EDFP. See paragraph 4 above for applicability.

24. Vendors/Subcontractors. When the prime contractor buys end articles or a portion thereof from a vendor/subcontractor, the prime contractor shall impose this specification upon its

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vendors/subcontractors. The inclusion of the requirement for such data on contractor’s subcontracts/purchase orders to its vendor/subcontractors does not relieve the prime contractor of its obligation to insure timely delivery of the required Provisioning Data Products, EDFP, and other provisioning deliverables.

LIST OF APPENDICES

A Source, Maintenance, and Recoverability (SMR) Codes

B Technical Replacement Factors (TRFs)

C Guidance For Assignment Of Part To Component Essentiality Codes (ECs)

D Reference Designation, Quantity per Assembly and Quantity per End Item

E Indenture Coding

F Hull, Mechanical and Electrical (HM&E) Equipment/Component Support Criteria

G Preliminary Allowance List (PAL) Data Elements

H Definitions

I Acronym Listing

Appendix A - 1 ATTACHMENT 9

Source, Maintenance, and Recoverability (SMR) Codes

SMR codes are used to communicate maintenance and supply instructions to the various logistic support levels. These codes are assigned to each support item based on the logistic support planning for the end item and its components. The SMR code is a six position alphanumeric entry. It is data product number

1220 of the Data Product Dictionary found in the LMI Specification (MIL-PRF 49506), and should be reported in Record B Block 22 of the LMI data product format (See LMI Worksheet Attachment 1 for format requirements).

1. Source Code. Codes entered in the first and second positions of the SMR Code indicating the source for acquiring the item for replacement purposes, i.e., procured and stocked, manufactured or assembled.

These codes are defined in Table I. The Source code is contained in the Weapon Systems File (WSF) level C in Data Element Number (DEN) D012.

2. Maintenance Code. Codes entered in the third and fourth positions of the SMR Code which consist of the Use Code and the Repair Code. There are three maintenance levels: Organizational, Intermediate, and

Depot. These codes are defined in Table II. The contractor shall assign the appropriate Use and Repair

Codes for each candidate spare or repair part. The Maintenance codes are contained in the WSF level C in

DENs D013A and D013B.

a. Use Code. The maintenance code entered in the third position will indicate the lowest maintenance level authorized to remove/replace, and use the item. The decision to code the item for removal and replacement at the indicated maintenance level will require that all the resources necessary to install and assure proper operation after installation of a replacement item (i.e., pre-installation inspection, testing and post-installation checkout) are provided.

b. Repair Code. The maintenance code entered in the fourth position indicates whether the item is to be repaired and identifies the lowest maintenance level with the capability to perform a complete repair action. The decision to code the item for repair at the indicated maintenance level requires that the proper logistics support (parts, manuals, training, tools, etc.) and all repair capability (remove, replace, repair, assemble, manufacture and testing for the support item) be provided or be available to that maintenance level. This does not preclude some minor repair which may be accomplished at a lower level of maintenance such as: simple replacement of minor items at the organizational level (fuses, light bulbs, screws, knobs, handles, etc.) Because of service differences in communicating maintenance information, a maintenance code entry in this position is not required by all services. Therefore this position is for optional use on intra-service equipments. When a maintenance code is not used a dash (-) sign will be entered. For multi-service equipments this position will contain a uniform maintenance code assigned by the service (s) requiring the code.

3. Recoverability Code. Code entered in the fifth position of the SMR Code which indicates the desired disposition of the support item. The Recoverability code is contained in WSF level C in DEN D013C.

(See Table III.)

4. Service Option Code. Code entered in the sixth position of the uniform format used to convey specific information to the logistic community and to the operating forces. This code is unique to each service and is utilized to disseminate specific instructions to that Service’s logistics business processes. The last segment of the SMR code is in WSF level C in DEN D012A. (See Table IV.)

Appendix A - 2 ATTACHMENT 9

TABLE I

UNIFORM SOURCE CODES

GENERAL: Source Codes are assigned to support items to indicate the manner of acquiring support items for maintenance, repair, rework or overhaul of end items. Source codes are entered in the first and second positions of the Uniform SMR Code format.

1. A Series Source Codes. A series source coded items are authorized for assembly at some level of maintenance. These codes should be assigned when all parts for assembly, the required support equipment and the skills required for the assembly are available at the specified level of maintenance. A source coded items require at least one P coded item in the assembly.

CODE DEFINITION

AD Item to be assembled at depot maintenance levels.

AF Item to be assembled at intermediate maintenance level.

Air Force - Intermediate(*) Marine Corps - 3rd Echelon

Army - Direct Support Navy - Afloat

AG Item to be assembled at both afloat and ashore intermediate maintenance levels - Navy use only.

AH Item to be assembled at intermediate maintenance level.

Air Force - Intermediate(*) Marine Corps - 4th Echelon

Army - General Support Navy - Ashore

AL Item is to be assembled at a specialized repair activity (e.g., item requires specialized tests and fixtures to insure proper assembly).

AO Item to be assembled at organizational level.

2. K SERIES SOURCE CODES. K series source coded items are contained in kits and do not / will not have an NSN assigned. Note: In those instances where an item is part of a kit and is also an item extraneous to the kit, the P series source code will take precedence.

KB Item included in both a depot overhaul/repair kit and a maintenance kit.

KD An item contained in a depot overhaul/repair kit and not purchased separately. Depot kit defined as a kit that provides items required at the time of depot overhaul or repair.

KF An item contained in a maintenance kit and not purchased separately. Maintenance kit defined as a kit that provides an item that can be replaced at organizational or intermediate levels of maintenance.

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3. M series Source Codes. M series source coded items are to be manufactured or fabricated at some level of maintenance. They are normally consumable items or those requiring very limited repair (e.g., bending, painting, alignment, etc.). The assignment of this code should be based primarily on the predicted usage of the item over the life cycle of the end item and the practicality and economics of stocking, storing and issuing items. Typical M coded items include hose assemblies, tubing, name plates, decals, wires, etc. which have minimal likelihood of replacement during the life cycle of the end item.

All the publications, manufacturing data, required shop equipment and skills must be available at the specified level of maintenance.

MD Item to be manufactured or fabricated at depot maintenance level.

MF Item to be manufactured or fabricated at intermediate maintenance level.

Air Force - Intermediate(*) Marine Corps - 3rd Echelon

Army - Direct Support Navy - Afloat

MG Item to be manufactured or fabricated at both afloat and ashore intermediate maintenance levels - Navy use only.

MH Item to be manufactured or fabricated at intermediate maintenance level.

Air Force - Intermediate(*) Marine Corps - 4th Echelon

Army - General Support Navy - Ashore

ML Item is to be manufactured at a specialized repair facility (e.g., environmental considerations).

MO Item to be manufactured or fabricated at organizational level.

4. P SERIES SOURCE CODES. P series source coded items are items which are centrally procured.

PA Item is procured and stocked for anticipated or known usage. Items are normally considered for replenishment.

PB Item procured and stocked for insurance purposes because essentiality dictates that a quantity be available in the supply systems.

PC Item procured and stocked but is deteriorative in nature.

PD Support item, excluding support equipment, procured for initial issue or outfitting and stocked only for subsequent or additional initial issues or outfittings. Not subject to automatic replenishment.

PE End item and/or support equipment procured and stocked for initial issue or outfitting for specific maintenance repair activities.

UNIFORM SOURCE CODES (cont.)

Appendix A - 4 ATTACHMENT 9

PF Support equipment which will not be stocked but which will be centrally procured on demand.

PG Item is procured and stocked to provide for sustained support for the life of the equipment. It is applied to an item which, because of probable discontinuance or shutdown of production facilities would prove uneconomical to reproduce at a later time.

PH Item is procured and stocked and has been identified to contain hazardous material. Item requires recordation in the Hazardous Material Information System (HMIS) and a

Material Safety Data Sheet (MSDS).

PR End item and/or support item, terminal or obsolete and replaced. No longer authorized for procurement. On hand assets may be issued until exhausted. Then use replacement item.

PZ Item is terminal or obsolete with no replacement; discontinue use. (Army only. This code will not effect other services if they are recorded as a user at DLSC.)

5. X Series Source Codes. X series source coded items are items for which no demand is anticipated.

XA Item is not procured or stocked because the requirements for the item will result in the replacement of the next higher assembly.

XB Support item with low mortality rate, not procured or stocked. Item may/may not be available through salvage. Salvage should be considered unless use of salvage item is prohibited by instruction in equipment publication. If prohibited, requisition through normal supply channels using Commercial and Government Entity (CAGE) code and reference number.

XC Installation drawing, diagram, instruction sheet, field service drawing, that is identified by manufacturers’ part number.

XD Support item with low mortality rate, not stocked. Local purchase or requisition through normal channels using contractor and government entity code (CAGE) and reference number. Not obtainable from salvage/cannibalization.

Appendix A - 5 ATTACHMENT 9

TABLE II

MAINTENANCE CODES

GENERAL: Maintenance codes are assigned to indicate the levels of maintenance authorized to USE, REMOVE, REPLACE or REPAIR support items. The maintenance codes are entered in the third and fourth positions of the Uniform SMR Code Format as follows:

Use (third position): The maintenance code entered in the third position will indicate the lowest maintenance level authorized to remove, replace and use the support item. The decision to code the item for removal and replacement at the indicated maintenance level will require that all the capabilities necessary to install and insure proper operation after installation of a replacement item (i.e., pre-installation inspection, testing, and post-installation checkout) are provided. The maintenance code entered in the third position will indicate one of the following levels of maintenance.

CODE APPLICATION/EXPLANATION

D Support items that are removed, replaced, used at Depot only:

USAF - Depot, Mobile Depot and Specialized Repair Activity

USA - Depot, Mobile Depot and Specialized Repair Activity

USN - Aviation Rework, Avionics and Ordnance Facilities and

Shipyards

USMC - Depot

F Support item is removed, replaced, used at the following intermediate levels:

USAF - Intermediate (*)

USA - Direct Support (*)

USN - Afloat

USMC - Third Echelon

G Support item is removed, replaced, used at both afloat and ashore intermediate levels.

(Navy only)

H Support item is removed, replaced, used at the following intermediate levels:

USAF - Intermediate (*)

USA - General Support (*)

USN - Ashore (only)

USMC - Fourth Echelon

* NOTE: For USAF programs and the USA safeguard program, Code F will be used to denote intermediate maintenance. On joint programs, use of either Code F or H by the joining service will denote intermediate maintenance to USAF and the USA safeguard program.

K Repairable item. Item is removed, replaced or used at contractor facility.

L Item is removed, replaced or used at designated specialized repair activity.

MAINTENANCE CODES (cont.)

Appendix A - 6 ATTACHMENT 9

O Support item is removed, replaced, used at the organizational level of maintenance.

Note (1): To distinguish between the organizational maintenance capabilities on different classes of ships the following codes may be used intra-Navy only. On joint programs, Navy will receive and transmit an O to indicate organizational maintenance level.

2 - Minesweeper, Yardcraft, Patrol Boat

3 - Submarines

4 - Auxiliary / Amphibious Ships

5 - Minor Combatant (Destroyer, Frigate)

6 - Major Combatant (Cruiser, Carrier)

Note (2): On Army programs, a code “C” may be used in the third position to denote crew or operator maintenance performed within organizational maintenance. On joint programs, the Army will receive or transmit an O to indicate organization level.

Z Item is not authorized to be removed or replaced at any maintenance level. This code is assigned to items not required for support in a specific application and is identified for reference purposes only. (Navy use only.)

Appendix A - 7 ATTACHMENT 9

MAINTENANCE CODES

Repair (fourth position): The maintenance code entered in the fourth position indicates whether the item is to be repaired and identifies the lowest maintenance level with the capability to perform complete repair. The decision to code the support item for repair at the indicated maintenance levels requires that all maintenance capability (remove, replace, repair, assemble and test) for the support items be provided to that level. This does not preclude some minor repair which may be accomplished at a lower level of maintenance. However, because of service differences in communicating maintenance repair level information a maintenance code entry in this position is not required by all services. When a maintenance code is not used a dash (-) sign will be entered. For multi-service equipment / systems or when a code is entered, this position will contain one of the following maintenance codes as assigned by the service(s) that require the code:

B No repair is authorized. The item may be reconditioned by adjusting, lubricating, etc. at the user level. No parts or special tools are procured for the maintenance of this item.

D The lowest maintenance level capable of complete repair of the support item is the

Depot level.

USAF - Depot, Mobile Depot

USA - Depot, Mobile Depot

USN - Aviation Rework, Avionics and Ordnance Facilities and

Shipyards

USMC - Depot

F The lowest maintenance level capable of complete repair of the support item is the following intermediate level:

USAF - Intermediate (*)

USA - Direct Support (*)

USN - Afloat

USMC - Third Echelon

G Both afloat and ashore intermediate levels are capable of complete repair of support item. (Navy only)

H The lowest maintenance level capable of complete repair of the support item is the following intermediate level:

USAF - Intermediate (*)

USA - General Support (*)

USN - Ashore (only)

MAINTENANCE CODES (cont.)

Appendix A - 8 ATTACHMENT 9

K Repairable support item. Complete repair capability exists at a designated contractor facility.

L Repair should be performed at the designated Specialized Repair Activity.

O The lowest maintenance level capable of complete repair of the support item is the organizational level.

Note (1): To distinguish between the organizational maintenance capabilities on different classes of ships the following codes may be used intra-Navy only. On joint programs, Navy will receive and transmit an O to indicate organizational maintenance level.

2 - Minesweeper, Yardcraft, Patrol Boat

3 - Submarines

4 - Auxiliary / Amphibious Ships

5 - Minor Combatant (Destroyer, Frigate)

6 - Major Combatant (Cruiser, Carrier)

Z Non-repairable. No repair is authorized.

Appendix A - 9 ATTACHMENT 9

TABLE III

RECOVERABILITY CODES

GENERAL: Recoverability Codes are assigned to support items to indicate the disposition action on unserviceable items. The recoverability code is entered in the fifth position of the uniform SMR Code

Format as follows:

A Non-repairable. Item requires special handling or condemnation procedures because of specific reasons (i.e., precious metal content, high dollar value or critical material. Refer to appropriate manuals / directives for specific instructions.

D Repairable item. When beyond lower level repair capability, return to depot.

Condemnation and disposal not authorized below depot level.

F Repairable item. When uneconomically repairable, condemn and dispose at the following intermediate levels:

USAF - Intermediate (*)

USA - Direct Support (*)

USN - Intermediate Afloat

USMC - Third Echelon F

G Field level repairable item. When uneconomically repairable, condemn and dispose at either afloat or ashore intermediate levels. (Navy only)

H Repairable item. When uneconomically repairable, condemn and dispose at the following levels:

USAF - Intermediate (*)

USA - General Support (*)

USN - Intermediate Ashore

K Repairable item. Condemnation and disposal to be performed at contractor facility.

L Repairable item. Repair, condemnation and disposal not authorized below depot level.

O Repairable item. When uneconomically repairable, condemn and dispose at organizational level.

Z Non-repairable item. When item becomes unserviceable, condemn and dispose of at authorized level.

TABLE IV

Appendix A - 10 ATTACHMENT 9

SERVICE OPTION CODES

GENERAL: Service Option Codes are assigned to support items to convey specific information to the

Service’s logistics community / operating forces. Each service uses the code to disseminate specific instructions which add to that Service’s internal logistics practices. Service Option Codes are entered in the sixth position of the Uniform SMR Format as follows:

ARMY - Demilitarization Code used in accordance with DOD 4160.21-M-1. Identifies unique requirements to be considered when an item is condemned.

MLI - Denotes Military List Team

SLI - Denotes Strategic List Team

Code Application

A No demilitarization required.

B MLI, no demilitarization required.

C MLI, remove deadly parts in accordance with DOD 4160.21-M-1.

D MLI, mutilate.

E MLI, burn, shred or pulp.

F MLI, contact the item manager.

G MLI, demil prior to DRMO.

P MLI, security classified, DECLAS, demilitarize sensitive markings prior to transfer to DRMO. Not used on AEDA items.

Q SLI, mutilate to preclude normal use, OCONUS only.

AIR FORCE - Expendability Recoverability Reparability Category Code (ERRC). Provides management characteristics, funding and condemnation information.

C Recoverable, condemn at depot level. (SCARS)

N Throw away, condemn at maintenance use level.

P Recoverable, condemn at intermediate level.

S Support equipment, condemn at depot level. (AFEMS)

T Recoverable, Condemn at depot level. (AFRAMS)

U Support equipment, condemn at O/F level. (AFEMS)

Appendix A - 11 ATTACHMENT 9

NAVY - Service Option Code. Provides specific data to the maintenance community which cannot be conveyed in the Uniform SMR Coding Format.

1 Engine intermediate maintenance level - First Degree.

2 Engine intermediate maintenance level - Second Degree.

3 Engine intermediate maintenance level - Third Degree.

6 PA source coded item which is normally procured commercially but organic capability exists to manufacture (source code M series) for emergency stop gap requirements.

Organic sources should be reviewed when commercial sources cannot meet demand.

8 Indicates a inter-service depot non-consumable item that is, by the Navy maintenance plan, repairable by second degree engine maintenance level.

9 Indicates a inter-service depot non-consumable item that is, by the navy maintenance plan, repairable by third degree engine maintenance level.

E Items which are removed by the O level with no I level repair authorized; however, the I level must perform end to end test to verify failure prior to final disposition. (Beyond

Capability of Maintenance)

J Indicates and inter-service DLR, that is, by the Navy maintenance plan, considered completely repairable below the depot level.

P Indicates the item is under a progressive maintenance review. (Item will be coded O in the fourth position and D in the fifth position.) P (sixth position) will then indicate intermediate is authorized between O and D levels. In the unlikely event that two different service option codes apply to the same item, the “P” progressive maintenance code will take precedence.

R Indicates Gold Disc repair capability has been developed at the organizational and/or intermediate levels of maintenance. Repair must be performed in a certified Module

Test and Repair Facility (MTRF).

T PD source coded item which has peculiar application to training devices.

Appendix B - 1 ATTACHMENT 9

APPENDIX B

Technical Replacement Factors (TRFs)

During the provisioning process for a new system/equipment, each part within the system/equipment subject to replacement that was not identified to a National Stock Number (NSN) during screening shall be assigned a TRF by the contractor. The TRF is an engineering estimate derived from several sources, depending upon the characteristics of the item (electrical, mechanical, electronic). The TRF is used in the computation of stocking levels until the item has been in the supply system long enough to establish a demand or usage pattern. When demand data are applied, the TRF is updated.

1. Relationship of TRF to Failure Rate. Failure rate, as commonly used in discussing reliability or failure prediction of equipment and their repair parts, is the ratio of the number of part failures divided by the population of the part and the time period over which failures were observed. Failure rates are commonly expressed in terms of the number of failures per million hours of operation, although conversion can be made to any time base convenient for discussion.

The similarities between TRF and failure rate are readily apparent. They both represent a ratio of the number of occurrences of an event (failure or usage) to the population of the item in service during the time the event occurred. They both are used to predict the number of events expected to occur during some future time period for some known population in service during this future time period. They both are subject to bias due to faulty classification (e.g., an item was replaced even though it had not failed).

The TRF assigned to an item is not only a function of failure, but is also a function of maintenance philosophy, since it is the maintenance philosophy which determines what is to be replaced (demanded).

2. TRFs of Zero. There is a rationale for an item to have a TRF of zero. For example;

It is never demanded, because it never fails.

It is never demanded because when it fails it is not replaced since the individual parts within, which have caused it to fail, are replaced (i.e., the item is repaired).

In each of the above, the single condition which causes an item to have a TRF of zero is that it is never demanded. There is but one reason for an item to have a zero failure rate--it never fails.

3. Example of TRF Calculation. TRF is calculated by applying the appropriate data to the ratio from the testing to the ratio of item replacement times the hours per year divided by item population for the test times the hours of the test. This is represented by the following equation:

Replacements x Operating Hrs/Year

Test Population x Test Hrs

The TRF is an eight position numeric entry in Block C-34 (MRRI Block) of the LMI Provisioning Data

Product requirements format (See LMI Worksheet Attachment 1). The decimal point is assumed to fall between the fourth and fifth positions. The procedures for calculating the TRF of a table lamp are presented in this section. The lamp consists essentiality of 4 parts:

The light bulb - a consumable assembly

Appendix B - 2 ATTACHMENT 9

The combined socket and switch - a consumable assembly

The electric cord - a consumable item

The plug - a consumable item.

The assumption is made that the lamp is operated for 1,000 hours a year, or a little less than 3 hours a day, and that the functional parts of the lamp listed above have the following Mean Time Between Failures

(MTBFs) and failure rates:

Item MTBF Failure

Rate/Year

Light Bulb 750 HRS 1.333

Socket Switch 10,000 HRS 0.100

Electric Cord 15,000 HRS 0.066

Plug 10,000 HRS 0.100

By summing the failure rates of the parts of the lamp, the failure rate of the lamp itself can be derived.

Doing this, it is found that the lamp will fail 1.599 times per year, largely due to the light bulb failing

1.333 times per year, but the other parts will make some contribution to the failure rate of the lamp. The table above does indicate, however, that if the lamp is owned for a long period of time, say 10 or more years, failure of the socket/switch cord or plug is to be expected. Note at this point that even though the failure rates of the parts of the lamp have been determined, the TRFs of the parts or the lamp still cannot be determined. To do this, the maintenance philosophy for the lamp needs to be known. In this simplified case, the number of different maintenance philosophies available are few: the lamp may either be repaired when it fails, replaced when it fails, or a combination of the two. That is, the lamp might be repaired when it fails if the light bulb is the failed part, and replaced when any of the other parts have failed. Note that the TRFs to be assigned to the lamp and the parts are a function of which of the above is chosen. If the lamp is replaced any time it fails, the lamp is the replaced (demanded) part; therefore, it has a TRF, but none of the parts do. If the lamp is repaired by replacing the failed parts, each of these has a

TRF; the lamp does not. If the light bulb is replaced when it burns out, but the whole lamp is replaced when anything else fails, the lamp and the light bulb have TRFs, but the other parts do not. The maintenance philosophies and the resultant variable TRFs can be shown in a table thus:

Failure Replace Replace Failed

Rate Failed Replace Bulb, Otherwise

Item Per Year Part Lamp Replace Lamp

Lamp 1.599 TRF = 0 TRF = 1.599 TRF = 0.266

Bulb 1.333 TRF = 1.333 TRF = 0 TRF = 1.333

Socket/Switch 0.100 TRF = 0.100 TRF = 0 TRF = 0

Cord 0.066 TRF = 0.066 TRF = 0 TRF = 0

Plug 0.100 TRF - 0.100 TRF = 0 TRF = 0

Using the simplified example above, some parallels can be drawn between this example and the maintenance philosophies experienced in supporting shipboard equipment.

Appendix B - 3 ATTACHMENT 9

The first maintenance philosophy represents the "traditional" way a majority of equipment is supported today (i.e., repair in place using piece parts throughout the life of the equipment, with replacement of the end item only in the event of catastrophic failure or damage beyond repair).

The second philosophy represents the case of modular replacement with no repair at the organizational level. In the case of Navy equipment, the module, or in our example the lamp might be sent to a depot for repair and returned to the owner or to stock.

The third philosophy represents limited organizational maintenance with more difficult and time consuming repair deferred to a higher level.

The sample serves to illustrate that assignment of a TRF requires knowledge of failure rates for the parts concerned. TRF is also a function of the maintenance philosophy to be applied. That is, the determination must be made whether the item will be replaced (demanded) upon failure, for if an item will not be replaced (demanded) upon failure, its TRF must be zero. Since TRF equals demand divided by population, if demand is zero, TRF is also zero.

4. TRFs Assigned to Consumables. TRFs for low cost, common design consumables (resistors, capacitors, etc.) shall be taken from the Generic Item Name Technical Replacement Factor Guide.

(Provided as Government Furnished Information [GFI]). This data reflects observed supply demand for these items, including false replacements, requisitions for stores, tool boxes, losses, etc., in addition to actual failures. For high cost, unique design consumables peculiar to the end item (special purpose tools, power supplies, potted or encapsulated assemblies), use the following sources in descending order of preference:

a. Actual failure data from the manufacturer.

b. MIL-HANDBOOK-217 Reliability Prediction converted to TRF by multiplying failures per hour by yearly component operating hours, taking duty cycles and stress factors into consideration.

c. Observed data for similar items.

5. Repairable Item TRFs. TRFs for repairable items are first assigned a raw TRF as described in paragraph 4 above. The raw TRF is then derated by a derating factor described below.

a. Items Totally Repairable at the Organizational Level. Obtain the appropriate TRF as described in paragraph 4 and then apply a derating factor from .10 to .99 depending upon the ease of repair, cost of the item and availability of all components of the assembly at the organizational level. The resulting replacement factor will be the number of items per application per year which fail, are not repaired at the organizational level, and must be requisitioned from the storeroom.

b. Items Installed by the Intermediate Level and Totally Repairable at the Intermediate Level.

Obtain the appropriate TRF as described in paragraph 4 and then apply a derating factor from 10 to .99 depending upon the ease of repair, cost of the item and availability of all components of the assembly at the intermediate level. The resulting replacement factor will be the number of items per application per year which fail, are not repaired at the intermediate level, and must be requisitioned from the storeroom.

c. Items Partially Repairable at the Organizational Level and Totally Repairable at the

Intermediate Level. Obtain the appropriate TRF as described in paragraph 4. A derating factor from .10 to .99 will be assigned depending on the ease of repair, cost of item, and availability of all components of

Appendix B - 4 ATTACHMENT 9 the assembly at the organizational level. The resulting replacement factor will be the number of items per application per year which are neither repaired at the organizational level nor the intermediate level, and which must be replaced from system stocks.

d. Items Not Repairable at the Organizational or Intermediate Level and Partially or Completely

Repairable at the Depot Level. Enter the appropriate TRF as described in paragraph 4 to the organizational level. A derating factor of .99 will be assigned. The resulting factor indicates negligible demand on system stock.

Appendix C - 1 ATTACHMENT 9

APPENDIX C

Guidance For Assignment Of Part To Component ECs

The Military Essentiality Code (MEC) indicates the degree to which unavailability of a replacement for an installed item when needed to perform corrective maintenance affects the ability of the end item to perform its primary function in the intended manner. An end item is a final combination of end products, component parts, and/or materials which is ready for its intended use (e.g., radar set, fire control system, electrical generator). The need to perform corrective maintenance is normally the result of failure of an item and so essentiality is commonly evaluated in the context of item failure, but it must be remembered that some parts may be needed for replacement owing to their use when replacing other failed parts (e.g., gaskets).

I. CODE 1

A. LMI Data Product Dictionary #280 Definition: Failure of this item will render the end item inoperable.

B. Guidance on Assignment of:

1. Failure of this item in its normal failure modes will result in total and catastrophic failure of the end item or a critical function of the end item.

2. This item is a part which normally is not considered to fail but is required to be installed, along with an item whose failure will result in total and catastrophic failure of the end item (e.g., gaskets, seals; etc.).

3. This item monitors a critical function and a malfunction will disenable an operator's capability to recognize a catastrophic failure.

II. CODE 3

A. LMI Data Product Dictionary #280 Definition: Failure of this part will not render the end item inoperable.

1. Failure of this item in its normal failure modes will result in at most minor degradation of…