Attachment D SOW RSC PAFOS Ch. 4.pdf

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TABLE OF CONTENTS

4.0 INTRODUCTION ............................................... 4-1

4.1 PROVISIONING BACKGROUND ..................................... 4-2

4.2 NAVSEA PROVISIONING POLICY AND RESPONSIBILITIES ............. 4-3

4.2.1 Provisioning Responsibilities ......................... 4-5

4.2.1.1 Fleet Logistics Support Directorate, NAVSEA 04L ..................................4-5

4.2.1.2 Naval Sea Logistics Center (NSLC) ...........4-5

4.2.1.3 Ship Program Manager (SPM) ................... 4-6

4.2.1.4 System or Equipment Program Manager (PM) ...... 4-7

4.2.1.5 NAVSEA Technical Support Activity (TSA) ....... 4-8

4.2.1.6 Naval and Commercial Shipyards ............... 4-10

4.2.1.7 Naval Supervising Activity (NSA)/Supervisor of

Shipbuilding, Conversion and Repair, USN

(SUPSHIP) .................................... 4-10

4.2.1.8 Shipbuilder .................................. 4-11

4.2.1.9 Naval Inventory Control Point (NAVICP) as the

Provisioning Inventory Control Point (PICP) .. 4-11

4.2.1.10 Manufacturer ................................ 4-11

4.3 PROVISIONING REQUIREMENTS ................................. 4-12

4.3.1 NAVSEA Program Manager Guide (PMG) ................... 4-12

4.3.2 Ship's Specifications ................................ 4-13

4.4 PROVISIONING TECHNICAL DOCUMENTATION (PTD) PROCESSES....... 4-14

4.4.1 CFE Provisioning Process ............................. 4-15

4.4.2 GFE Provisioning Process ............................. 4-16

4.4.3 Preliminary Allowance List (PAL) Process ............. 4-17

4.4.4 PAL Development Responsibilities ..................... 4-22

4.4.4.1 NAVSEA Program Manager (PM) .................. 4-22

4.4.4.2 NAVSEA Technical Support Activity ............ 4-22

4.4.4.3 Naval Sea Logistics Center ................... 4-23

4.4.4.4 Naval Inventory Control Point ................ 4-23

4.4.5 Advance RIC Process .................................. 4-24

4.4.6 Commercial-Off-The-Shelf/Non-Development

Item (COTS/NDI).....................................4-24

4.4.7 Maintenance Assistance Modules (MAMs) Provisioning

Process .............................................. 4-26

4.4.7.1 General MAMs Guidance ........................ 4-26

4.4.7.2 Maintenance Assistance Modules Allowances for

"Unique" Situations .......................... 4-27

4.4.7.3 Brokered/Embedded Equipment MAMs Guidance ... 4-299

4.5 STREAMLINING THE PROVISIONING PROCESS ...................... 4-32

4.5.1 The Provisioning Team ................................ 4-32

4.5.2 ICAPS-PC Standalone and ICAPS C/S Definition ......... 4-32

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4.5.3 ICAPS Data Processing Scenarios ...................... 4-33

4.5.3.1 Concurrent Processing: Contractor/TSA/NAVICP

with ICAPS C/S ............................... 4-33

4.5.3.2 Semi Concurrent Processing:

Contractor/TSA/NAVICP with ICAPS C/S ......... 4-34

4.5.3.3 Semi-Concurrent Processing: Contractor with

ICAPS Standalone or ICAPS Compatible Software Only, TSA/NAVICP With ICAPS C/S .............. 4-34

4.5.4 Concurrent Provisioning .............................. 4-34

4.5.5 Incremental Processing of PTD ........................ 4-35

4.5.6 Provisioning Streamlining Benefits ................... 4-36

4.6 PROVISIONING METHODS ....................................... 4-36

4.6.1 Resident Provisioning Team Method .................... 4-36

4.6.2 Conference Team Method ............................... 4-37

4.6.3 In-House Provisioning Method ......................... 4-37

4.7 PROVISIONING CONFERENCES ................................... 4-37

4.7.1 Provisioning Guidance Conference (PGC) ............... 4-37

4.7.2 Preparedness Review Conference (PRC) ................. 4-38

4.7.3 Provisioning Conference (PC) ......................... 4-38

4.7.4 General Conference ................................... 4-38

4.7.5 Long Lead Time Items Conference (LLTIC) .............. 4-38

4.7.6 Interim Support Item Conference (ISIC) ............... 4-39

4.8 PROVISIONING DATA PRODUCT DELIVERABLES ..................... 4-39

4.8.1 Provisioning Parts List (PPL) ........................ 4-39

4.8.2 Long Lead Time Items List (LLTIL) .................... 4-39

4.8.3 Interim Support Items List (ISIL) .................... 4-40

4.8.4 Tools and Test Equipment List (TTEL) ................. 4-40

4.8.5 System Configuration Provisioning List (SCPL) ........ 4-40

4.8.6 Design Change Notice (DCN) ........................... 4-40

4.8.7 Ship Level Provisioning Parts List (SLPPL) ........... 4-40

4.8.8 Engineering Data For Provisioning (EDFP) ............. 4-41

4.9 COMPONENT IDENTIFICATION DATA (CID) ........................ 4-42

4.9.1 Provisioning Header Data (PHD) ....................... 4-42

4.9.2 Statement Of Prior Submission (SPS) .................. 4-42

4.9.3 Advance RIC Request Data (ARRD) ...................... 4-43

4.10 NAVSEA PROVISIONING TECHNICAL CODE GUIDANCE ................ 4-43

4.10.1 Replacement Factor (RF) ............................. 4-44

4.10.2 Essentiality Code (EC) .............................. 4-45

4.10.3 Minimum Replacement Unit (MRU) ...................... 4-45

4.10.4 Allowance Item Codes (AIC) .......................... 4-45

4.10.4.1 Allowance Note Code (ANC) .................. 4-45

4.10.4.2 Technical Override Codes (TOC) ............. 4-45

4.10.4.3 Allowance Factor Codes (AFC) ............... 4-46

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4.10.5 Source, Maintenance and Recoverability

Coding (SMRC) ....................................... 4-46

4.10.6 Demilitarization Code (DC) .......................... 4-46

4.11 SUPPORTABILITY ANALYSIS SUMMARIES .......................... 4-46

4.12 ALLOWANCE DOCUMENTS ........................................ 4-47

4.13 APL WORTHINESS GUIDANCE .................................... 4-48

4.13.1 General APL Worthiness Guidance ..................... 4-48

4.13.2 Additional Hull, Mechanical And Electrical (HM&E)

Equipment Guidance .................................. 4-48

4.13.3 Non-APL Worthy Item Alternatives .................... 4-48

4.14 NAVAL INVENTORY CONTROL POINT (NAVICP) FUNCTIONS

AND PROCESSES ............................................4-48

4.14.1 Provisioning Screening Process - Item

Identification ...................................... 4-48

4.14.2 Spares Computation .................................. 4-51

4.15 WEAPON SYSTEMS FILE (WSF) .................................. 4-53

4.15.1 Master Data File (MDF) .............................. 4-53

4.15.2 Program Support Interest File (PSIF) ................ 4-54

4.15.3 Technical Reference File (TRF) ...................... 4-54

4.15.4 Master Allowance Part List (MAPL) ................... 4-54

DIRECTIVES AND INSTRUCTIONS

APPENDICES

Appendix A NAVSEA Program Manager Guide (PMG)

Appendix B Brokered/Embedded Equipment MAMs APL Processing

Instructions

Appendix C Technical Replacement Factors

Appendix D Guidance for Assignment of Essentiality Codes (ECs)

Appendix E Reference Designation, Quantity Per Assembly, and

Quantity Per End item

Appendix F Indenture Coding

Appendix G Contractor Furnished Equipment (CFE) Allowance Parts

List (APL) Worthiness Guidance

Appendix H Commercial-Off-The-Shelf/Non-Developmental Item

(COTS/NDI) Allowance Documentation Guidance

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Appendix I Preliminary Allowance List (PAL) DPDs

Appendix J Provisioned Item Orders (PIOs) and Guidance for

Completion of Standard Form 26, Award Contract

Appendix K LMI Worksheet Narrative For Non-ICAPS Provisioning

Submittals

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4.0 INTRODUCTION

As delineated in the NAVSEA Organization Manual, the Deputy Commander for Nuclear Propulsion (SEA 08) is responsible for all technical matters pertaining to nuclear propulsion of the U. S.

Navy ships and craft, including all aspects of integration of the nuclear plant into the ship system. Nothing in this technical specification detracts in any way from those responsibilities.

Additionally, the policy and guidance in this technical specification are not applicable to TRIDENT Weapon Systems, which use the Consolidated Data File (CDF).

Assistant Secretary of the Navy (Research, Development and Analysis) [ASN (RD&A)] policy states it is imperative that all equipment, including commercially available equipment, be logistically supported for its life cycle. The Navy's intent is to buy cost effective support to satisfy user requirements.

Operational scenario and readiness objectives form the basis for this support. Specifically, total cost of ownership, the maintenance concept for the equipment, standardization, and supportability requirements will be considered.

Based on ASN (RD&A) policy, all systems and equipment will require some level of provisioning to establish supply support.

Provisioning is the process of determining and acquiring the range and depth of material necessary to support and maintain a system or equipment for all levels of maintenance for an initial period of service. The term "range" refers to the number of different spare parts carried onboard, while the depth refers to the number of each part carried onboard.

Innovative strategies for logistically supporting the commodity types are encouraged and should be visible to the Fleet.

One way this can be accomplished is through the establishment of a Provisioning Team. The Provisioning Team will exchange information with the Program IPT and provide assistance during the supply support methodology determination process, tailoring supply support requirements, implementing streamlining techniques, and developing contractual requirements.

Provisioning data is derived by engineers through analysis of the Reliability and Maintainability (R&M) data. The engineering community is responsible for performing a Repair Analysis Supportability Summary. This information provides provisioning data required to establish supply support. The Logistics Management Information (LMI) Performance Specification (MIL-PRF- 49506) provides policy for obtaining provisioning data. The

4-2 provisioning information obtained from the modified LMI Worksheet (see Appendix A, Program Manager Guide), the Program Support Data (PSD) sheets, and the maintenance concept provide the data required to accomplish the provisioning process. These data, along with system and equipment drawings, are needed to determine the range and depth of spare and repair parts required for operation, maintenance, repair and overhaul of the hardware being acquired.

4.1 PROVISIONING BACKGROUND

Part of the decision-making process that determines the range of parts to go onboard ship includes deciding what levels of maintenance are appropriate for the equipment. Organizational Level Maintenance refers to maintenance actions performed by the user activity. Repair actions requiring greater maintenance capability are known as Intermediate Level actions and they are performed by fleet maintenance activities. Highly complex maintenance actions may be performed by the original manufacturer or a Naval or private shipyard and are known as Depot Level Maintenance.

The maintenance planning process begins prior to the provisioning process for new equipment to determine correct level-of-maintenance decisions. A Maintenance Planning Supportability Analysis is performed first to determine the maintenance philosophy for the equipment. A Repair Analysis Supportability Summary can then be used to define the maintenance concept for equipment, and define the maintenance actions to be performed at each maintenance level for that piece of equipment. The LMI Performance Specification provides additional guidance on Supportability Analysis Summaries.

PTD is the generic term used to reference the various types of provisioning data bought from a manufacturer. This term is used by the DOD components for the identification, selection, and determination of initial requirements and cataloging of support items to be procured through the provisioning process. Applicable PTD consists of EDFP, CID, and various Data Product Deliverables including:

(a) Provisioning Parts List (PPL)

(b) Long Lead Time Items List (LLTIL)

(c) Repairable Items List (RIL)

(d) Interim Support Items List (ISIL)

(e) Tools and Test Equipment List (TTEL)

(f) Common and Bulk Items List (CBIL)

(g) Design Change Notices (DCN)

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(h) Post Conference List (PCL)

(i) System Configuration Provisioning List (SCPL)

(j) Ship Level Provisioning Parts List (SLPPL)

The level of detail for the PTD will depend on whether the system or equipment has parts subject to wear-out, failure, or replacement and that require maintenance at the organizational, intermediate, or depot level. Systems or equipment that does not require piece part support will require adequate PTD to establish a configuration record for the system or equipment. The requirement for PTD must be specified in the system or equipment contract by invoking the applicable performance specification modified to meet the specific requirement of the individual Navy acquisition.

4.2 NAVSEA PROVISIONING POLICY AND RESPONSIBILITIES

a. Chief of Naval Operations (CNO) policy directs that all new equipment, modifications or alterations to existing equipment be logistically supported. Documents that define policy and/or guidance on provisioning include this manual, the LMI Performance Specification (MIL-PRF- 49506), the NAVSEA Program Manager Guide (PMG) (see Appendix A), and the Acquisition Logistics Handbook (MIL- HDBK-502) dated May 1997. The LMI Performance Specification replaced Military Standard 1388.2B. The LMI Performance Specification applies to all services within the Department of Defense (DoD).

b. PTD will be provided in the digital format as specified by the LMI Worksheet Attachment of the PMG that the Navy can sort into different provisioning data products. These data products are described in Section 4.9.0.

c. PTD contractual requirements will be included in every hardware acquisition for equipment requiring maintenance and spare/repair parts support.

d. PTD is required for Commercial-Off-the-Shelf (COTS). The

NAVSEA PM and the Provisioning IPT will determine the specific provisioning requirements.

e. The NAVSEA or SPAWAR engineering activity typically responsible for Life Cycle or In-Service support of the equipment/component similar in function to the equipment

4-4 to be provisioned shall be funded by the Ship Program Manager (SPM) or PM to serve as the TSA responsible for validating and generating the technical and engineering data and decisions of the provisioning process.

f. The TSA will submit all initial provisioning and all subsequent Allowance Parts List (APL) updates and/or corrections to NAVICP via the Interactive Computer Aided Provisioning System Client-Server (ICAPS C/S).

g. The Provisioning Gatekeeper shall review and verify

Allowance Override (AOR) Code assignments for AORs that have direct impact on shipboard allowances as follows:

A Readiness AOR. Assigned to a part derived from a Readiness Based Sparing (RBS) analysis to support a system readiness (Ao) goal.

E Micro-Miniature (2M) Repair/Naval Facilities

(NAVFAC) AOR. Authorized for use only by NAVFAC and the TSA for 2M Support APLs.

F as cancelled per fleet, NAVSEA and NAVSUP concurrence during the May 5, 2005 Maritime Allowance Working Group (MAWG).

P Planned Maintenance (PMS) AOR. Assigned to an item with a supporting Maintenance Index Page (MIP)/Maintenance Requirement Card (MRC), specifying replacement (always) with a periodicity of a year or less.

S Safety AOR. Assigned to an item that with continued operation of the equipment without replacement of the failed part will directly and immediately infringe on the safety of personnel operating or maintaining the equipment.

Justification must be provided to the Gatekeeper by the ISEA/TSA.

h. ICAPS C/S is the only authorized tool for the assignment and maintenance of the following technical DPDs:

Allowance Note Code (ANC) Allowance Factor Code (AFC) and AFC Qty

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Allowance Override (AOR) Code and AOR Qty Demilitarization Code

Essentiality Code (EC) Minimum Replacement Unit (MRU) Source, Maintenance and Recoverability (SM&R) Code Technical Replacement Factor (TRF)

i. enance Tool (FMT) as well as any other methods or tools for assigning or updating/correcting the above DPDs are not authorized for NAVSEA or SPAWAR equipment. For more information on the above elements, see paragraph 4.11.0 (NAVSEA Provisioning Technical Code Guidance).

j. The NAVSEA SPMs and PMs will:

Establish Provisioning Teams Explore provisioning streamlining techniques Invoke PTD and PIOs Plan, program and budget for PTD and provisioning actions Designate and fund a TSA and establish supply support at Preliminary Operational Capability

(POC).

Specific roles and responsibilities are defined in section 4.3.1.

4.2.1 Provisioning Responsibilities

The NAVSEA provisioning responsibilities are defined in the following paragraphs:

4.2.1.1 Fleet Logistics Support Directorate, NAVSEA 04L

a. Establish and maintain current directives and instructions to provide provisioning guidance so that PMs can properly contract for provisioning data.

b. Operate the Program Support Data Automated Reporting and

Tracking System (PARTS) database to assist in the preparation of PSD sheets for systems and equipment.

Consolidate PSD sheets for submittal to NAVICP. Assist in budgeting for outfitting funds.

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4.2.1.2 Naval Sea Logistics Center (NSLC)

a. Ensure ICAPS (Standalone and Client/Server) reflect all current NAVSEA policy, and all required DPDs are present with accurate validations.

4.2.1.3 Ship Program Manager (SPM)

a. Ensure complete and correct provisioning requirements, as tailored to the individual program by the Provisioning IPT, are included as a separate contract line item in the contract and ensure those requirements are met.

b. Ensure the requirements for PTD are included in Ship

Project Directives (SPDs) and ensure those requirements are met.

c. Ensure contractors and ship builders invoke PTD requirements in their subcontracts for systems and equipment. Require maximum utilization of the system or equipment manufacturer, system integrator, or Navy Industrial Facility databases to fully develop PTD.

d. Ensure that PTD for systems and equipment assembled or fabricated by a Navy Industrial Activity is prepared to the same specification and level of detail as PTD procured from a system or equipment manufacturer.

e. Ensure PIO requirements are included as a separate contract line item in the contract.

f. Establish MSDs and prepare PSD sheets in coordination with NAVICP for designated Mission Critical CFE and for CFE requiring spares which cost over $100K per year (For additional information see PAFOS Chapter 3 (Programming and Budgeting).

g. Provide the ship's maintenance planning documentation to the TSA and NAVICP.

h. Monitor the contractors, ship builders, system and equipment Program Managers, NSAs, TSAs, and NAVICP to ensure that PTD is obtained and processed in time to meet the operational requirements.

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i. Plan, program, and budget for the acquisition of PTD and for those provisioning actions to be accomplished by the TSA/other designated NAVSEA engineering activities.

j. Ensure all PTD is submitted to the TSA for review and approval.

k. Tasks the TSA to provide guidance and assistance to all provisioning activities as required.

l. Establish/participate as member of IPTs as required.

m. Provide Ship Project Directive (SPD) to the PM for GFE being installed.

n. Require the NAVSEA/SPAWAR PMs to provide GFE provisioning status to the Naval Supervising Activity (NSA) for entry into the configuration database.

o. Convene a Provisioning Guidance Conference within 90 days after shipbuilding contract award to ensure the shipbuilder understands the provisioning requirements for CFE. Ensure that concerned activities attend the conference. Finalize and confirm a PTD Submission Schedule at this conference.

4.2.1.4 System or Equipment Program Manager (PM)

a. Ensure that correct and complete provisioning requirements, as tailored to the individual program by the Provisioning IPT, are included in contracts for systems or equipment, all design changes, alterations and modifications. Require system integrators and system or equipment manufacturers to include the requirement for PTD and PIO in their subcontracts.

b. Ensure ISS option is included in the equipment contract.

For organically supported systems and equipment, ISS will be required from the POC date until MSD is achieved (See PAFOS Chapter 5 (Interim Supply Support (ISS)).

c. Plan, program, and budget for the acquisition of required PTD and for those provisioning actions to be accomplished by the designated TSA.

d. Designate a NAVSEA engineering activity to act as a TSA in technical matters pertaining to provisioning and to

4-8 carry out the TSA responsibilities as assigned by this document.

e. Monitor the TSA's progress to ensure PTD is delivered to NAVICP in a timely manner.

f. Ensure that provisioning data is submitted to NAVICP, via the TSA, for the system or equipment during its life cycle for all changes (alterations, field changes, part changes, etc.) that occur after production.

g. Tasks the TSA to provide guidance and assistance to the system or equipment manufacturer or system integrator in preparation of provisioning data invoked in the contract.

h. Develop PSD sheets and negotiate the MSD with NAVICP and submit to NAVSEA 04L. PMs will use the PARTS database in the preparation and control of PSD sheets.

i. Ensure that PTD is submitted and that provisioning actions are completed in time to achieve supply support by the POC. This eliminates the need for ISS.

j. Establish and chair provisioning conferences.

k. Provide the system or equipment maintenance planning documentation to the TSA and NAVICP.

l. Provide copies of drawings and technical data, which will support the competitive procurement of nonstandard spare and repair parts as part of the PTD when a system or equipment acquisition includes the cost of design and development as a Government expense.

m. Invoke PTD requirements in accordance with MIL-PRF-49506 in both the EMD contract and the production contract for developmental items and Commercial-Off-The Shelf/Non- Developmental Items (COTS/NDIs).

n. Provide up to date provisioning status for each item of

GFE to the Cognizant NSA for input to the configuration database.

o. Establish/participate as member of IPTs as required.

4.2.1.5 NAVSEA Technical Support Activity (TSA)

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a. Act as the engineering representative for technical matters pertaining to provisioning of GFE and CFE systems and equipment.

b. Receive PTD from the system or equipment manufacturer, system integrator, Navy Industrial Facility, or NSA for review and acceptance or rejection. Acceptance or rejection will be based on, but not limited to, acquisition Contract Data Requirements Lists (CDRLs) and on the adequacy of the PTD to complete provisioning.

c. Utilize ICAPS C/S for all initial provisioning and subsequent Allowance Parts List (APL) updates/corrections submissions to NAVICP.

d. Verify or complete technical coding of PTD in accordance with the maintenance plan.

e. Provide supply support configuration/APL Worthiness guidance to the contractor/ship builder.

f. Determine final supply support configuration/APL worthiness.

g. Forward approved PTD to NAVICP for further processing.

h. Ensure that provisioning information is submitted to NAVICP for all ISEA-initiated changes to systems or equipment.

i. Provide provisioning status to designated activities as required.

j. Participate in required provisioning conferences.

k. Notify the SPM or PM of any problems that will prevent timely completion of PTD processing.

l. Review APLs developed as a result of provisioning and coordinate corrections/updates with NAVICP.

m. Ensure that APLs provide required supply support (down to the repair part level) for the system or equipment being acquired.

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n. Reflect the supply support methodology through the assignment of the Logistic Support Status Code (LSSC).

o. Participate as member of IPTs as required.

4.2.1.6 Naval and Commercial Shipyards

a. Ensure that the requirements for PTD are invoked in contracts for emergent systems and equipment acquired for ships undergoing repair and modernization.

b. Purchase provisioning information for locally procured equipment bought by the shipyard.

c. Prepare PTD for shipyard manufactured or fabricated system or equipment.

d. Forward PTD to the TSA.

e. Ensure configuration files are updated.

f. Attend provisioning conferences.

g. Participate as member of IPTs as required.

4.2.1.7 Naval Supervising Activity (NSA)/Supervisor of

Shipbuilding, Conversion and Repair, USN (SUPSHIP)

a. -site technical representative for ensuring contract requirements are met.

b. Monitor the contractor's progress in achieving PTD schedules established in contracts for shipbuilding, conversion, overhaul, or repair.

c. Attend provisioning conferences.

d. Expedite shipment of PTD to the TSA.

e. Prepare reports to the NAVSEA PM indicating problems and delinquencies in achieving supply readiness for ships under construction, conversion, overhaul, or repair.

f. Ensure the configuration database is maintained to monitor the status of provisioning for new construction

4-11 ships. Provide reports to the appropriate NAVSEA PM and cite any delinquent provisioning actions.

g. Participate as member of IPTs as required.

4.2.1.8 Shipbuilder

a. Purchase or develop provisioning information in accordance with contract requirements.

b. Serve as member of IPTs as required.

c. Submit provisioning to the government as required.

d. Attend and/or host provisioning conferences as required.

e. Participate as member of IPTs as required.

4.2.1.9 Naval Inventory Control Point (NAVICP) as the

Provisioning Inventory Control Point (PICP)

a. Provide Provisioning Contract Control Numbers (PCCNs) to the provisioning submitter(s).

b. Load WSF data files.

c. Establish wholesale/retail system stock, as applicable.

d. Coordinate NSN assignment.

e. Perform FLIS screening.

f. Perform supply management coding.

g. Assign RICs as requested by the TSA.

h. Produce allowance lists.

i. Participate as member of IPTs as required.

j. Attend provisioning conferences.

4.2.1.10 Manufacturer

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a. Develop PTD for the system or equipment and deliver to the government in accordance with the contract.

b. Include the same provisioning information requirements established by the government into vendor/subcontractor contracts.

c. Submit provisioning data to the TSA as required.

d. Attend or host provisioning conferences as required.

e. Participate as member of IPTs as required.

4.3 PROVISIONING REQUIREMENTS

PTD requirements will be submitted in accordance with the PMG, which is based on MIL-PRF-49506.

a. PTD will be invoked as a separate line item in all ship, system and equipment contracts. PTD requirements will be invoked in both the EMD acquisition phase contract and the production contract for Developmental Items (DI) and Commercial-Off-The-Shelf/Non-Developmental Items

(COTS/NDI).

b. PTD for the acquisition of follow-on systems or equipment purchased from the original contractor may use the provisioning specification invoked in the original contract.

c. PIO options will be included in all contracts.

d. Waivers of provisioning requirements, either during contract negotiations or after contract award, must be submitted to NAVSEA 04L4 for approval.

4.3.1 NAVSEA Program Manager Guide (PMG)

To ensure all provisioning requirements become part of the contract used to procure a ship or system/equipment, NAVSEA has developed the PMG, which provides examples of the documents needed in a contract in order to get complete and accurate PTD for the following commodity types:

a. Developmental Systems and Equipment.

b. Commercial-Off-The-Shelf/Non-Developmental Items

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(COTS/NDI).

c. Shipbuilding and Conversion.

d. Ship Overhaul and Availability.

e. Small Boats and Craft.

It describes the minimum recommended requirements that might be called for in a contract. It is the responsibility of the Program IPT and the Provisioning Team to tailor the support requirements for each individual acquisition. Additional requirements should be included as necessary. The NAVSEA PMG is provided as Appendix A.

The NAVSEA PMG provides the following information to assist the Acquisition Manager in preparing the contract to include provisioning requirements:

a. A blank Provisioning Requirements Introduction form to be completed by the PM, with input from the Provisioning Team.

b. A blank (modified) LMI Worksheet to be completed by the

Provisioning Team with input by the PM.

c. Sample Statement of Work (SOW).

d. The Contract Data Requirements Lists (CDRLs) (DD Form

1423-2), which should be reviewed and modified as required by the PM and the Provisioning IPT, and accompanying Data Item Descriptions (DIDs) for each contract deliverable.

4.3.2 Ship's Specifications

Another important document in describing the provisioning requirements needed to support Navy ships and equipment is the Ship's Specification.

Each ship that the Navy contracts to build has a Ship's Specification. This document describes a wide range of requirements that need to be met in order for the shipbuilder to complete the shipbuilding contract. This includes requirements such as the type and grade of steel to be used in building the ship, the number and placement of fire extinguishers, and supply

4-14 support requirements. The section of the Ship's Specification that speaks to supply support, known as the 083 Section, defines provisioning and explains its part in achieving supply support.

Each Ship's Specification is specially written for that class of ship and is tailored from a generic document produced by the Navy known as the NAVSEA General Specification S9AAOA-AA-SPN-010 or Gen Spec for short.

It does not require the Contractor or shipbuilder to provide PTD. The contract and CDRLs (which the PMG provides as samples) make provisioning information a "deliverable" and part of the contract. The following section examines the provisioning requirements that are invoked in a contract.

4.4 PROVISIONING TECHNICAL DOCUMENTATION (PTD) PROCESSES

To fully describe the provisioning process and the flow of PTD, it will be useful to better explain the difference between Government Furnished Equipment (GFE) and Contractor Furnished Equipment (CFE).

The Navy contracts with a shipbuilder to build a ship according to certain specifications, and much of the equipment installed onboard the ship is bought by the shipbuilder from equipment manufacturers across the United States. This is CFE, also referred to as Locally Procured Equipment. Most CFE, such as pumps, motors, electrical cables and so on, is known as Hull, Mechanical and Electrical equipment or HM&E. In addition, the Navy has some specially made equipment, mostly electronics and ordnance, installed onboard its ships. These are GFE identified by Schedule A of the shipbuilding contract and purchased with separate contracts with their own provisioning requirements. GFE can be anything from radio sets to weapon systems. The GFE must arrive at the shipbuilder at the proper time, and the design information must be correct so that the GFE will fit and function correctly onboard the ship and interface, as appropriate, with the shipbuilder's CFE equipment.

NAVSEA PMs will submit PSD sheets for each hardware acquisition involving GFE. In addition, PSD sheets will be submitted on CFE that have been designated mission critical or require spares costing more than $100K per year as determined by the NAVSEA PM and NAVICP. The Program Support Data Automated Reporting and Tracking System (PARTS) database will be used in the preparation of the PSD sheets. PSD sheets will support the budgeting and requirements determination process for initial, interim and follow-on spare and repair parts.

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Because these two types of equipment are bought differently, their provisioning processes and the players involved are also different.

4.4.1 CFE Provisioning Process

The following paragraphs explain the flow of Provisioning Technical Documentation (PTD) for CFE:

a. NAVICP provides the shipbuilder, shipyard (naval or commercial) with a list of Provisioning Contract Control Numbers (PCCNs) at the Provisioning Guidance Conference (PGC). These PCCNs are used to identify each PTD package and track it throughout the provisioning process.

b. The shipbuilder/shipyard is required to provide the provisioning data according to the contract.

c. The ship builder/shipyard receives the provisioning information from the equipment vendors.

d. The shipbuilder/shipyard consolidates the provisioning data, identifies each package by assigning a PCCN, and enters the data into ICAPS or ICAPS compatible format.

If the vendor has submitted the data to the shipbuilder in ICAPS, then this step has already been completed.

Some shipbuilders hire subcontractors to perform this work and provide it to the shipbuilder.

e. The shipbuilder or shipyard passes the provisioning data to the TSA with a copy of the transmittal letter to the NSA. However, in some contracts the NSA receives the packages, records the PCCN in order to track the progress of the provisioning work, and then passes the data to the TSA.

f. The TSA receives the data and determines APL-Worthiness.

If the data is APL-Worthy the TSA will accept or reject the PTD based on, but not limited to, the CDRLs and adequacy of the PTD. If the data is accepted, the TSA verifies/assigns technical coding and submits the data to NAVICP via ICAPS C/S for further processing.

g. When NAVICP receives the PTD packages, they record the

PCCN for tracking purposes and then route the packages

4-16 to the NAVICP provisioning departments responsible for the type of equipment involved. Once the PTD package is previewed by NAVICP, an APL number is assigned and the submitter is notified via the TSA. NAVICP then processes the HM&E PTD packages by reviewing the PTD for adequacy, resolving concerns with the TSA, assigning supply management coding and loading various provisioning data files in the WSF.

h. If NAVICP-M changes one of the Technical Codes monitored abeyance at this point until the TSA reviews the changes suggested by the NAVICP-M provisioner. If the TSA concurs with the suggested changes, the TSA shall update the ICAPS PCCN Header to show TSA Concurrence. If the TSA disagrees with the suggested changes, the TSA shall contact the NAVICP-M provisioner (identified by ICAPS) to resolve the differences. Once TSA concurrence is achieved, the WSF is loaded and the APL is complete. At this point, a Provisioning Parts List Index (PPLI) may be run in ICAPS C/S to be used as an R060. The TSA uses the PPLI (R060) to validate the provisioning decisions.

i. The shipbuilder or shipyard enters the APL in the configuration database that is being developed for the ship.

4.4.2 GFE Provisioning Process

The flow for the GFE provisioning process is similar to the flow for CFE provisioning - with a few important differences. The following paragraphs will explain the flow.

a. The Contractor prepares the provisioning data for the GFE. If ICAPS is not being used for data development, GFE Contractors must submit their PTD in ICAPS-compatible format as described in the PMG (Appendix A of this chapter). The Contractor forwards the data to the

TSA.

b. The TSA receives the data provided by the equipment contractor and determines final APL-Worthiness. If the data is APL-worthy the TSA will accept or reject the PTD based on, but not limited to, the CDRLs and adequacy of the PTD. If the data is accepted, the TSA verifies

4-17 and/or assigns technical coding and submits the data to NAVICP via ICAPS C/S for further processing.

c. When NAVICP receives the PTD packages, they record the PCCN for tracking purposes and then route the packages to the NAVICP provisioning departments responsible for the type of equipment involved. Once the PTD package is previewed by NAVICP, a Repairable Identification Code (RIC) is assigned in ICAPS C/S and the submitter is notified via the TSA. NAVICP then processes the PTD packages by reviewing the PTD for supply management cataloging adequacy, resolving concerns with the TSA, assigning supply management coding and loading various provisioning data files in the WSF.

d. If NAVICP-M changes one of the Technical Codes monitored abeyance at this point until the TSA reviews the changes suggested by the NAVICP-M provisioner. If the TSA concurs with the suggested changes, the TSA shall update the ICAPS PCCN Header to show TSA Concurrence. If the TSA disagrees with the suggested changes, the TSA shall contact the NAVICP-M provisioner (identified by ICAPS) to resolve the differences. Once TSA concurrence is achieved, the WSF is loaded and the APL is complete. At this point, a PPLI may be run in ICAPS C/S to be used as an R060. The TSA uses the PPLI (R060) to validate the provisioning decisions.

e. The NAVSEA TSA ensures the updated APL is provided to configuration database.

4.4.3 Preliminary Allowance List (PAL) Process

In the past, the PAL process was linked directly to the requirement for 0 COG NSNs for Interim Supply Support (ISS).

Based on the process improvements identified during the NAVSEA 04L sponsored ISS Value Stream Analysis (VSA) conducted in July 2007 and the process definition determined by the Provisioning Center of Excellence (PCOE) meeting of November 2007, the following PAL process improvements were identified:

PALs shall be utilized as a replacement for Allowance Appendix Pages (AAPs). They will be used whenever approved

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Engineering Data for Provisioning (EDFP) is not available and in accordance with the timeframes provided below.

Equipment supported with 0 COG NSN(s) does not necessitate the requirement for a PAL. An APL with a Fully Supported Logistics Support Status Code (LSSC) shall be developed.

This revised procedure will allow the building of an APL from outset in lieu of a PAL when drawings and complete provisioning data are available. Developing an APL from the outset when EDFP is available in lieu of a PAL is more efficient and facilitates subsequent APL maintenance/update process including the transition of 0 COG NSN items to full support NSNs.

Either an APL or PAL (sans drawings) must be developed to document ISS and properly manage shipboard allowance updates.

This supports the recent joint NAVSEA/SUP MSG R282125Z Aug 07 requiring the delivery of ISS spares with a valid APL or PAL.

The Non Standard Allowance File (NSAF) (heretofore developed to document RBS decisions) will be used to document ISS outfitting requirements and ensure follow-on ASI allowance updates reflect these sparing decisions/delivery of parts.

Since the NSAF entries are specific to a ship, application (APl or PAL) and NSN it can be tailored to the ISS process to ensure uniform and consistent allowance computation by the application of an upon Reengineered Maritime Allowance Development (ReMAD) will be applied to suppress items not included as ISS. AORs will be removed from the file at MSD to trigger standard (e.g. Fleet Logistics Support Improvement Program (FLSIP)) allowance computation for follow-on updates.

Based on the process improvements above, the sole purpose of the PAL process is to eliminate AAPs. PALs will:

Facilitate configuration management and allowance determination;

Facilitate shipboard recording and supply management within Operational Maintenance Management System-Next Generation/Readiness Supply(OMMS-NG/R-Supply) (AKA: SNAP);

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Allow collection of demand data;

Provide the fleet with allowance/parts support data consistent with ISS decisions/outfitting until MSD and a full support APL is available.

The source data for the preparation of PALs is preliminary PTD in the form of Interim Support Items List (ISIL). The ISIL and subsequent PAL contain all the data necessary for the generation of COSAL and OMMS-NG/R-Supply) allowances. See Appendix I for minimum data requirements for loading the WSF for PAL development.

PALs are developed by processing the ISIL through ICAPS by the TSA or ISEA. This data is transferred by the TSA via ICAPS to NAVICP. NAVICP will perform FLIS screening once the data is received. The data is then loaded into the WSF, which creates the PAL. The PAL will be developed within 30 days of delivery of the data. Figure 4-1 provides a flow diagram of the PAL development process.

The process depicted in Figure 4-1 will be followed to develop a PAL.

The following timeframes should be used as a benchmark as to when the PAL process should be started for New Construction Programs, Availability/Overhaul Programs, and approved SCDs:

New Construction Programs: PAL development should begin at te (EDD minus 6), Availability/Overhaul Programs: PAL development should begin at six (6) months before Start of Availability (SOA minus 6), or

Approved SCDs, alterations and equipment installations on operational ships: PAL development should start six (6) months before First Installation.

PAL packages will be completed within the following processing times:

TSAs will process PAL packages within 15 days after receipt.

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NAVICP will process PAL packages within 30 days after receipt from TSA.

Sparing requirements for Onboard Repair Parts (OBRPs) and follow-on support spares will be determined by using only Navy approved sparing computation models. These spares decisions/OBRP requirements will be recorded in the NSAF specifically for those ships outfitted in the pre-MSD ISS period.

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Figure 4.1

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4.4.4 PAL Development Responsibilities

4.4.4.1 NAVSEA Program Manager (PM)

a. Ensure contractual requirements for ISIL are invoked in the prime contract. Contractual requirements for ISS PTD are contained in the NAVSEA PMG (see Appendix A).

Other ISS contractual requirements, if applicable, are contained in PAFOS Chapter 5 (Interim Supply Support

(ISS)).

b. Ensure data required to develop a PAL is delivered to the TSA in time to provide weapon system support at POC.

To facilitate ISS outfitting, provide the ships, items and quantities to be outfitted pre-MSD. Continue to provide updates to the install schedules and changes to ISS outfitting leading up to MSD.

c. Provide a preliminary maintenance philosophy to the TSA.

d. Budget for Supply Support requirements.

e. Provide funding, if required, for IRPs.

f. Identify a Source of Supply (SOS) and establish via

Naval Supply Systems Command (NAVSUP) an appropriate Routing Identifier Code (RIC).

g. Identify Interim Designated Overhaul Point (DOP) for the system or equipment per NAVSEA Depot Certification Handbook.

h. Coordinate with NAVICP early in the acquisition process to accelerate MSD.

4.4.4.2 NAVSEA Technical Support Activity (TSA)

a. Assist the PM in developing the Request for Procurement (RFP) and Statement of Work (SOW).

b. Provide technical guidance to the prime contractor for the development of the ISIL.

c. Process the ISIL through ICAPS C/S. Data requirements are specified in Appendix A. The TSA will review, approve, or disapprove data where the prime contractor provides all technical coding. In cases where the prime

4-23 contractor does not provide technical coding, the TSA will generate this data quantities to identify ISS OBRP requirements.

d. Provide updated lists of ships that require ISS as a result of all installation until full MSD is achieved to NSLC to facilitate NSAF update accordingly.

e. Release completed ICAPS C/S package to NAVICP. Utilize a "P" in the first position of the PCCN, versus the normally used "N", in order to designate the package as a PAL.

f. Ensure that the ICAPS C/S package is completed in time to support the POC of the weapon system. (Nominally, at least 2 months prior to POC.)

g. Coordinate with the Supervisor of Shipbuilding, Conversion and Repair (SUPSHIP), Planning Yard, or Configuration Data Manager (CDM) to ensure that the PAL is reflected in the Configuration Data Managers Database-Open Architecture (CDMD-OA) database to support COSAL/OMMS-NG/R-Supply schedules.

h. Review and validate the completed PAL.

4.4.4.3 Naval Sea Logistics Center

a. Ensure ICAPS-PC (Standalone and Client/Server reflect all current NAVSEA policy, and all required DPDs are present with accurate validations.

b. Based on TSA ship installation list, load NSAF with ISS

AORs and quantities as required. Subsequently, remove AORs/quantities upon reaching MSD to ensure standard (e.g. FLSIP) allowance computation as required.

c. Ensure the PAL auto-load process is working correctly, and coordinate with NAVICP to maintain files load for PALs via ICAPS C/S.

4.4.4.4 Naval Inventory Control Point (NAVICP)

a. Perform FLIS screening on all provisioning packages.

b. Identify non-standard items of supply on APLs or PALs with a "0" COG NICN.

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c. Coordinate with Naval Sea Logistics Center

(NAVSEALOGCEN) to maintain files load for PALs via ICAPS C/S. Review stock status for existing NSNs and initiate buys to support any increased requirements.

d. Perform ICAPS C/S review with TSA and load the WSF.

e. Ensure Level C of the WSF is loaded within 30 days of receipt.

f. Issue the PAL.

g. Replace PAL data with APL data when received from the

TSA upon completion of the formal provisioning process, retaining the same Repairable Identification Code (RIC) number.

h. Replace 0 COG NICNs with NSNs after material has been redistributed to the supply system.

i. Perform PAL reviews and coordinate files maintenance with the TSA, as required.

4.4.5 Advance RIC Process

The Advance RIC process shall be implemented for New Construction programs, Overhaul/Availability ships, and first time installation of approved Ship Change Documents (SCDs), Alterations and Engineering Change Proposals (ECPs). The Advance RIC procedure will allow the equipment it represents to be identified wit configuration file as opposed to a pseudo RIC used in the past.

This will allow ships to receive identification of piece part requirements via Automated Shore Interface (ASI) for OMMS-NG/R- Supply (AKA:SNAP) ships, and COSAL In Access (CIA) (formerly:

Automated Monthly COSAL Maintenance Action Report) updates for non-SNAP ships as the final provisioning process is completed and the APL is generated.

The Advance RIC procedures shall not be utilized until the final equipment/component end item part number configuration is identified. Advance RICs do not apply to ISS equipment which requires development of a PAL.

Advance RIC requests will be submitted to NAVICP in accordance with the requirements specified below and the Component

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Identification Data requirements specified in the NAVSEA PMG (see Appendix A). The NSA/SUPSHIP shall complete the data requirements for Component Identification Data (CID). The following additional information will be provided in the Characteristics Data field:

a.

b. Command or Activity

c. Date Advance RIC Requested

d. Scheduled Date When Complete PTD Will Be Provided To TSA

e. Applicable System/Function (if known)

This reflects the minimum data requirements needed to request an Advance RIC. The specific delivery media will be determined at the PGC). The Advance RIC request data will be sent to NAVICP-M via the TSA. The TSA will submit the data via ICAPS C/S to the appropriate NAVICP code. An Advance RIC number will be assigned within seven (7) days of the request. NAVICP will assign a Logistic Support Status Code (LSSC) of "MD" and ICAPS will notify the TSA of RIC Assignment. The TSA will distribute the Advance RIC number by email to the NSA or the SUPSHIP and Ship Builder.

The Ship Builder/Contractor/CDM will update all configuration files and identify the Advance RIC number on all future submittals of provisioning data for that item.

The following information is provided as a guide for the assignment of Advance RICs for each type of program:

a. New Construction Programs: The Advance RIC procedures shall be used for all equipment without a RIC at 2 months prior to ship delivery. The SPM, TSA, and NAVICP should agree on specific dates in order to achieve program specific needs.

b. Availability/Overhaul Programs: The Advance RIC procedures will be used for all equipment without a RIC that will not have a PAL developed prior to SOA. The SPM, TSA, and NAVICP should agree on specific dates in order to achieve program specific needs.

c. Approved SCDs, Alterations and ECPs: To support the ILS

Certification Process, the Advance RIC procedures will be used for all equipment without a RIC beginning at 6 months prior to SOA. The SPM, TSA, and NAVICP should agree on specific dates in order to achieve program specific needs.

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4.4.6 Commercial-Off-The-Shelf/Non-Developmental Items (COTS/NDI)

Today, more system designs are incorporating COTS/NDI items in an attempt to:

Reduce total ownership costs, Eliminate or reduce government R&D, Apply of state-of-the-industry technology to current requirements, Reduce technical, cost, schedule and performance risks, Access commercial distribution networks, Join the larger commercial/public market.

However, the use of COTS/NDI for shipboard applications creates a new set of allowance documentation development and supply support challenges for the provisioner. Appendix H provides guidance to assist the provisioner with making allowance documentation development decisions for COTS/NDI.

4.4.7 Maintenance Assistance Modules (MAMs) Provisioning Process

A Maintenance Assistance Module (MAM) is used during organizational level maintenance to isolate the cause of failure to a single point. If the design or maintenance philosophy of a system/equipment dictates the use of MAMs, the following policy is provided. This policy provides general MAMs provisioning guidance for systems/equipment, as well as two special situations:

a. Unique situations, and

b. Brokered/embedded equipment.

4.4.7.1 General MAMs Guidance

The following describes the general process used for identifying MAMs on an equipment/system APL. During provisioning of the equipment/system APL in ICAPS C/S, the TSA will assign an Allowance Note Code ( Factor Code (AFC) and AFC Quantity (QTY) for each MAM required for fault isolation. The ANC determines the range of MAMs that will be reflected in the ship's allowance, while the AFC and AFC QTY assigned determine the specific allowance quantity for each MAM.

The identification of MAMs on the equipment/system APL will simplify configuration accounting and ensure the accuracy of the resulting MAM allowances.