SIPH 4-0 DTD 12 NOV 2014.pdf

COMSPAWAR M-4720.1

Shore Installation Process Handbook

Version 4.0

November 12, 2014

DISTRIBUTION LIMITED TO DEPARTMENT OF DEFENSE AGENCIES AND THEIR

CONTRACTORS FOR ADMINISTRATIVE OR OPERATIONAL USE. DATE OF

DETERMINATION: 17 AUGUST 2014. OTHER REQUESTS FOR THIS DOCUMENT SHALL BE

REFERRED TO SPACE AND NAVAL WARFARE SYSTEMS COMMAND, CODE 4.0.

THIS PAGE IS INTENTIONALLY BLANK

DEPARTMENT OF THE NAVY

SPACE AND NAVAL WARFARE SYSTEMS COMMAND

4301 PACIFIC HIGHWAY

SAN DIEGO, CA 92110-3127

Ser 4.0/1291 12 Nov 14

From: Commander, Space ahd Naval Warfare Systems Command

Subj: LETTER OF PROMULGATION

Ref: (a) SPAWARINST 4720.1A

(b) DoDD 5230.24

1. This letter here by authorizes the release and distribution of the Shore Installation Process Handbook, Version 4.0 . This document is effective upon receipt and shall be handled administratively per reference (a).

2. The Shore Installation Process Handbook provides procedures and guidance, consistent with e x isting Department of Defense (DoD) and U.S. Navy directives, to be used by all Space and Naval Warfare Systems Command (SPAWARSYSCOM) activities during the installation of electronic systems at shore facilities.

3. The Shore Installation Process Handbook is an unclassified publication. A distribution determination was completed per reference (b) . Disclosure of this publication or portions thereof is limited to DoD and U.S. DoD contractors for administrative or operational use. Other requests must be referred to SPAWARSYSCOM, Code 4 .2 , Mr. Michael 619-524- 7697.

Distribution:

Assista Commander for Logistics and Fleet Support

SPAWAR Wiki Website:

https ://wiki.spawar . navy.mil/confluence / x /vqVT

THIS PAGE INTENTIONALLY LEFT BLANK

Executive Summary Shore Installation Process Handbook i

EXECUTIVE SUMMARY

In 1999, Commander, Space and Naval Warfare Systems Command recognized that varying forms of installation processes with inconsistent results were being utilized during the installation of SPAWAR systems at Naval shore facilities. To standardize procedures utilized by SPAWAR field activities, the SPAWAR Shore Installation Process Handbook (SIPH) was developed to document an optimized process based upon decades of installation experience and lessons learned. The goal of the SIPH was to document a repeatable process that provides successful results that minimize cost, improve performance, and improve customer satisfaction.

The results of SPAWAR shore installations performed since the implementation of the original SIPH in 1999 have demonstrated that this goal has been on the whole achieved. All shore modernization and installation services, as defined by SPAWARINST 4720.1A, shall be performed in accordance with the processes and standards delineated in this handbook.

The SIPH is an unclassified publication that provides a comprehensive reference that details the elements of the Shore Installation Process to be used by the SPAWAR Enterprise when installing electronic and support systems at shore facilities. This handbook not only details the process to be followed, but also includes examples of documentation to be utilized so that the content and format of the installation documentation delivered to customers by SPAWAR activities will be consistent and complete. An explanation of key aspects of installation design standards is also provided as an aid to understanding and following DoD and Navy requirements as well as industry best practices. A checklist is also provided to aid in the successful completion of each step in the process. Organizational relationships, roles and responsibilities are also defined to ensure that SPAWAR Project Engineers as well as other SPAWAR employees overseeing process implementation are aware of their duties and required actions.

The Shore Installation Process requires customer involvement and concurrence early in the installation cycle and is oriented toward continuous customer involvement and satisfaction. In large, complex shore projects such as those associated with Military Construction (MILCON), SPAWAR planning requirements should start as early as six to eight years before a facility is fully operational. OPNAVINST 11010.20H recognizes the processes defined in this handbook for installing electronic systems and it requires Navy Commands that are planning MILCON projects to involve SPAWAR early in project implementation. Ultimately, the desired end state of every completed SPAWAR installation project whether large or small is not only a quality installation, but a customer that is both informed and pleased.

Shore Installation Process Handbook ii

Preface Shore Installation Process Handbook iii

PREFACE

The Shore Installation Process Handbook is designed as a comprehensive reference providing guidance and direction concerning processes to be followed for installation of C4ISR systems and other electronic systems at shore facilities. SPAWARINST 4720.1A establishes this handbook as the primary reference to be used by all SPAWAR personnel and subordinate commands for all installations at shore facilities.

Throughout this publication, references to other publications imply the effective edition.

Report any missing pages to the SPAWAR 4.2 Installation Competency office.

ORDERING DATA

The number of hard copies of this document available will be limited. Compact Discs (CDs) containing this handbook as well as templates, tools, and references are available from SPAWAR 4.2. This handbook and associated files can also be found at the SPAWAR 4.2 Process Asset Library at the following link.

https://wiki.spawar.navy.mil/confluence/display/sscpacpal/4.2+Installations

RECOMMENDED CHANGES

Recommended changes to this publication may be submitted at any time and should include the following information:

1. Version number of the Shore Installation Process Handbook.

2. Location of recommended change: page, paragraph, line, and figure number.

3. Type of change: add/delete/modify, text/figure.

4. Exact change recommendation. Give verbatim text changes. If a figure is to be added, supply a rough sketch or identify the source of the new figure. If a figure is to be changed, include a marked up copy of the existing figure.

5. Rationale/justification for the proposed change.

All recommendations should be submitted to:

Space and Naval Warfare Systems Command, Code 4.2 4301 Pacific Highway San Diego, CA 92110-3127 https://wiki.spawar.navy.mil/confluence/pages/viewpage.action?pageId=34701938 https://wiki.spawar.navy.mil/confluence/pages/viewpage.action?pageId=34701938 https://wiki.spawar.navy.mil/confluence/display/sscpacpal/4.2+Installations iv

Record of Changes Shore Installation Process Handbook v

RECORD OF CHANGES

Version Date Changed By Description of Change

4.0

October

Version 4.0 is a general update to the entire document with numerous minor changes throughout. Major changes include the incorporation of the Fleet Readiness Directorate (FRD) and Maturity Milestones into the document, a new Work Scope Form, a new Cost Estimating Worksheet, a new schedule requirement for Base Electronic Systems Engineering Plans (BESEPs), updated guidance and templates for drawings, updated guidance on tailoring document deliverables, a new Installation Completion Report (ICR) form, and a reorganization and rewrite of the Section and associated appendices for MILCON projects.

vi

Table of Contents and Lists Shore Installation Process Handbook of Tables, Figures and Appendices Version 4.0 vii

TABLE OF CONTENTS

1.0 INTRODUCTION

1.1 Background

1.2 Handbook Structure

1.2.1 Section 2 (Process Input Development)

1.2.2 Sections 3 through 8 (Typical Process from Start to Finish)

1.2.3 Structure of Sections 2 through 8

1.2.4 Section 9

1.2.5 Section 10

1.3 Funding Milestones

1.4 Milestones for Routine PEO Installations

1.5 Milestones for Emergency Installations

1.6 Milestones for OCF (Non PEO) Installations

1.7 Organizational Structure and Relationships

1.7.1 Program Manager

1.7.2 Shore Platform Manager

1.7.3 Installation Management Activity (IMA)

1.7.4 Installation Activity (IA)

1.7.5 Regional Shore Installation Manager (RSIM)

1.7.6 Project Engineer (PE)

1.7.7 Assistant Project Engineer

1.7.8 On-Site Government Representative (OSGR)

1.7.9 Lead Installer

1.7.10 Quality Assurance Evaluator (QAE)

1.7.11 Subject Matter Expert (SME)

1.7.12 Training Agent (TA)

1.7.13 Training Support Agent (TSA)

1.8 Special Case Installations

1.9 Relationship to other Management Models

1.10 Conclusion

2.0 CRITERIA FOR INPUTS TO THE INSTALLATION PROCESS

2.1 General

2.1.1 Routine and Non-Routine Inputs

2.2 Funding

2.2.1 Obtaining Program Funds

2.2.2 Requirement to Route Funds to the IMOs

2.3 Design

2.4 Testing

2.4.1 Permanent Installations

2.4.2 Temporary Installations

2.4.3 Interoperability and Regression Testing

Table of Contents and Lists Shore Installation Process Handbook viii

2.4.4 Installation Testing Criteria

2.4.5 Navy Network Policy Requirements

2.5 Fielding Plan Development

2.5.1 MILCON Projects

2.6 Information Assurance, Certification and Accreditation (C&A)

2.6.1 Development Phase

2.6.2 Operation/Implementation Phase

2.6.3 Program Manager Responsibility

2.6.4 SCI Systems

2.6.5 Platform Information Technology (PIT)

2.6.6 Cross Domain Solution (CDS) Products

2.7 Spectrum Certification

2.7.1 DON Guidance

2.7.2 Frequency Allocations

2.7.3 Spectrum Management

2.7.4 Host Nation Approval

2.8 Electromagnetic Environmental Effects (E3)

2.9 Site Approval

2.10 Sustainment Logistics

2.11 Implementation Support

2.12 Fleet Readiness Certification Board (FRCB)

2.13 Host Based Security System Compatibility

2.14 Checklist Completion

3.0 WORK PLAN DEVELOPMENT AND TASKING

3.1 General

3.2 Requirements Finalization

3.3 Feasibility Review and Determination

3.4 Cost Estimating and Scheduling

3.4.1 Electromagnetic Environmental Effects (E3) Reviews

3.5 Update and Review Work Plan Requirement

3.5.1 Cost or Schedule Drivers

3.5.2 Consolidated Installations

3.6 Customer Coordination

3.7 Work Plan Approval

3.8 Checklist Completion

4.0 INSTALLATION PLANNING

4.1 General

4.2 Fund Task

4.3 Develop Plan of Action and Milestones (POA&M)

4.3.1 Other POA&M Planning Factors

Table of Contents and Lists Shore Installation Process Handbook ix

4.3.2 Time Line Summary (TLS) Report

4.4 System Requirements

4.4.1 SPAWAR Document Resources

4.5 Site Resources and Constraints

4.6 Site Surveys

4.6.1 RSIM Coordination

4.6.2 Site Survey Requirements

4.6.3 Construction

4.6.4 Remote Survey - Definition and Use

4.6.5 Site Assessment - Definition and Use

4.7 Revised Estimate at Completion (EAC)

4.8 Update POA&M and Time Line Summary (TLS)

4.9 Checklist Completion

5.0 INSTALLATION DESIGN

5.1 General

5.1.1 Construction Work

5.1.2 Country Specific Requirements

5.1.3 Training Site Requirements

5.2 Review Installation Design Standards and Guidance

5.2.1 NAVFAC Guidance

5.3 Spectrum Assignment and Electromagnetic Environmental Effects (E3)

5.3.1 NAVFACINST 11010.45

5.3.2 OPNAVINST 5100.23G

5.3.3 NAVFAC Notification

5.3.4 Host Nation Approval (HNA)

5.4 BESEP Development

5.4.1 BESEP Format

5.4.2 BESEP Content

5.4.3 Responsibility Assignment

5.4.4 Concurrence

5.4.5 Release

5.4.6 Distribution

5.4.7 BESEP Update

5.5 BESEPS for MILCON and Other Large Projects

5.6 TSIP Development

5.6.1 TSIP Format

5.6.2 TSIP Number

5.6.3 TSIP Contents

5.6.4 Approval and Distribution

5.7 Installation Design Plan (IDP) Development

5.7.1 Installation Requirements Drawing (IRD) Packages

5.7.2 Requirements for the Use of Electronic Media

Table of Contents and Lists Shore Installation Process Handbook x

5.7.3 Requirements for Drawings Prepared by an Architect-Engineer (A-E) for Minor Construction

5.7.4 Definition of Master As-Built Drawings

5.7.5 Approval of IDPs and As-Built Drawings

5.7.6 Navy Digital Data and Record Management Program Requirements for Drawings

5.8 System Operational Verification Test (SOVT) Document Development

5.8.1 SOVT Process Purpose

5.8.2 SOVT Standardized Format and Content

5.8.3 Project Engineer Responsibility for SOVT

5.8.4 Approval of SOVT Documents

5.8.5 Repository Requirements for SOVT Documents

5.8.6 SOVT Documents for Non-SPAWAR Systems

5.9 Cutover Plan Development

5.10 On-The-Job Training Materials Development

5.11 ILS Checklist Development

5.12 Pre-Installation Test and Checkout (PITCO) Procedures

5.13 Ordering and Tracking Installation Material

5.14 Verify Scheduling and Financial Requirements

5.14.1 Installation Schedule

5.14.2 Installation Estimate at Completion (EAC)

5.15 System Software Configuration Planning

5.15.1 PITCO’s Role

5.15.2 Software Documentation Requirements

5.16 Personnel Requirements

5.17 Reporting Requirements

5.17.1 Combined Design and Installation Tasks

5.17.2 “Design Only” Tasks

5.17.3 “Production Only” Tasks

5.18 Checklist Completion

6.0 PRE-INSTALLATION

6.1 General

6.2 Prepare Installation Team

6.2.1 Contracting Preparations

6.2.2 Safety Preparations

6.2.3 Quality Preparations

6.2.4 Security Clearance and Travel Preparations

6.3 Prefabrication and Pre-Installation Test and Checkout (PITCO)

6.3.1 Prefabrication Preparations

6.3.2 PITCO Preparations

6.4 Develop Installation In-Brief and Out-Brief

6.5 Verify Equipment, Materials, Site Preparations and Communications Connectivity ... 76

Table of Contents and Lists Shore Installation Process Handbook xi

6.5.1 Equipment and Material Preparations

6.5.2 Site Preparations

6.5.3 Connectivity and Keying Material (KEYMAT) Coordination

6.6 Shipping Preparations

6.7 RSIM and Site Coordination

6.7.1 RSIM Coordination

6.7.2 Clearances and Visit Requests

6.7.3 Training Coordination

6.8 Final Installation Preparations

6.8.1 Coordination with Key Site Personnel

6.8.2 Coordination with Outside Agencies

6.8.3 FRCB and Host Nation Approvals

6.8.4 Confirmation of Receipt of Shipments

6.8.5 Final Security Office Coordination

6.8.6 Crypto Verification

6.8.7 Connectivity Verification

6.9 Reporting Requirements

6.9.1 SITREPs

6.9.2 Schedule Issue Reporting

6.9.3 Budget Issue Reporting

6.10 RSIM Weekly Activity Report (WAR)

6.11 Checklist Completion

7.0 INSTALLATION PERFORMANCE

7.1 General

7.2 Personnel Safety

7.2.1 Safety Guidance

7.2.2 Safety Training

7.2.3 Common Safety Considerations

7.3 In-Brief

7.3.1 Purpose

7.3.2 Schedule

7.3.3 Site Impacts

7.3.4 Security Impacts

7.3.5 BESEP Review

7.4 Coordination and Liaison

7.4.1 RSIM Coordination

7.4.2 Site Status Meetings

7.4.3 Coordination with Other Stakeholders

7.5 Reporting Requirements

7.5.1 PE and OSGR Reporting Responsibilities

7.5.2 IMO Reporting Responsibilities

7.5.3 RSIM Reporting Responsibilities

7.5.4 Installation Reporting Process Flow

Table of Contents and Lists Shore Installation Process Handbook xii

7.5.5 Cutover Coordination

7.6 Material Administration

7.6.1 Installation Material Receipt Coordination

7.6.2 Communications Security Material Receipt Coordination

7.7 Connectivity Administration

7.8 Testing Administration

7.9 Pre-Installation Baseline Test (PIBT)

7.10 Installation Performance

7.11 Installation Performance Requirements

7.11.1 Security Readiness Review

7.11.2 Information Assurance Training and Certification

7.11.3 Maintaining a Clean Work Environment

7.11.4 Cable Routing and Management

7.11.5 Labeling

7.11.6 Equipment Installation Practices

7.11.7 Software Installation Practices

7.12 System QA and Checkout

7.12.1 Physical Inspection and Safety/Security Check

7.12.2 Continuity Checks

7.12.3 System Groom/Pre-SOVT

7.12.4 Troubleshooting and Problem Resolution

7.13 Removal of Replaced Equipment and Site Restoration

7.13.1 Associated Cabling

7.13.2 Associated Patch Panel and Power Panel Labeling

7.13.3 Raised Floor Tiles

7.13.4 Blank Panels

7.13.5 Holes in Duct and Conduit

7.13.6 Holes in Walls

7.13.7 Holes in Roofs

7.13.8 Trenched Area Restoration

7.14 Site Configuration Data

7.14.1 As-Built Drawings

7.14.2 Software Configuration Data

7.15 Checklist Completion

8.0 SYSTEM TURNOVER

8.1 General

8.2 Conduct Security/Safety Walk-Through

8.3 Conduct SOVT

8.4 Arrange and Conduct Training

8.5 System Accreditation Package

8.6 Logistics Support and Configuration Management Data

8.6.1 Software Configuration Data

Table of Contents and Lists Shore Installation Process Handbook xiii

8.7 Cutover

8.8 Removal of Replaced Equipment

8.9 Final Configuration Documentation Changes

8.9.1 Final Changes to Red-Lined As Built Drawings

8.9.2 Final Changes to Software Configuration Backup Media

8.10 Installation Completion Report (ICR) Guidance

8.11 Out-Brief

8.12 Completion Message

8.13 Training Site Installations

8.14 Post-Installation Administration

8.14.1 Completion of Final As-Builts

8.14.2 Resolution of Deficiencies

8.14.3 Final Documentation Upload

8.14.4 Final Equipment and Material Accounting

8.14.5 Final Cost Accounting

8.14.6 Installation Task/Project Closeout

8.15 Feedback

8.16 Checklist Completion

9.0 TAILORING INSTALLATION DOCUMENTATION

9.1 Purpose and Objective

9.2 Introduction

9.3 Deliverable Requirements

9.3.1 Common Deliverables

9.3.2 Other Deliverables

9.3.3 Shore ALT Deliverables Discussion

9.3.4 Software Delivery (SWD) Installation Deliverables Discussion

9.3.5 Equipment Refresh/Engineering Change Installation Deliverables

9.3.6 Field Change Installation Deliverables Discussion

9.3.7 Mail-Out Deliverables Discussion

9.3.8 Standalone Task Deliverables Discussion

9.4 Policy for Mail-Outs (Installations Delivered via Mail/Email, Download or Electronic Push)

9.4.1 Exceptions

9.4.2 Endorsement Authority

9.4.3 Site Identification and Tracking Numbers

9.4.4 BESEPs for Mail-Out Installations

9.4.5 Mail-Out Instructions and Associated Information

9.4.6 Test Results Message

9.5 Policy for Relocation Projects

9.5.1 Equipment Relocation Site Survey Documentation and BESEPs

9.5.2 Equipment Relocation IDPs

9.6 Tailored Requirements for Temporary Shore ALT Installation Deliverables

Table of Contents and Lists Shore Installation Process Handbook xiv

9.6.1 Subcategories of Temporary Shore ALT Installations

9.6.2 Requirements for Temporary Installation IDPs

9.6.3 Requirements for Temporary Installation SOVT Documents

9.6.4 Requirements for Temporary Installation ICR and Completion Message

9.6.5 Document Requirements Matrix for Temporary Installations

9.7 Using Tables 9-8 and 9-9 to Determine Documentation Requirements

10.0 MILITARY CONSTRUCTION (MILCON) AND OTHER LARGE PROJECTS

10.1 Purpose

10.2 Background

10.2.1 Facility Requirements Identification

10.2.2 Scope and Scalability

10.3 MILCON C4ISR/IT Organizational Structure and Relationships

10.3.1 SPAWAR 4.0D Program Manager

10.3.2 Program Manager for Shore Integration, PEO C4I (PMW 790)

10.3.3 Program Manager for Shore Installation, Fleet Readiness Directorate (FRD). 138

10.3.4 Project Manager

10.3.5 Lead System Engineer (LSE)

10.3.6 Functional Lead Project Engineers

10.3.7 Project Engineers (PEs)

10.3.8 MILCON On-Site Government Representative (OSGR)

10.3.9 Project Management Support Functions

10.4 MILCON C4ISR Integration Process

10.4.1 C4ISR/IT Pre-Project Award (PPA) Requirements Identification

10.4.2 C4ISR/IT Integrated Systems Design

10.4.3 C4ISR/IT Systems Installation Design

10.4.4 C4ISR/IT Production / Execution

10.4.5 Operating Capabilities

10.4.6 Risk Management

10.5 Determine Integration Program Office and Project Office Teams

10.6 Commence Pre-Project Award Tasking

10.6.1 Develop Initial Requirements Analysis Document (RAD)

10.6.2 Develop Initial Resource-Loaded Work Breakdown Structure (RL-WBS)

10.6.3 Develop Initial MILCON BESEP

10.7 Conduct System Requirements Review (SRR)

10.8 Support 30%/60%/90% CA Facility Construction Reviews

10.9 Implement Project Controls Process

10.10 Conduct Top Level Design Review (TLDR)

10.11 Conduct System Design Review (SDR)

10.12 Conduct Critical Design Review (CDR)

10.13 Preliminary Installation Design Review (PIDR)

10.14 Continuing Review of Installation Design

10.15 Final Installation Design Review (FIDR)

Table of Contents and Lists Shore Installation Process Handbook xv

10.16 Installation Readiness Review (IRR)

10.17 Installation begins at Pre-Beneficial Occupancy Date (Pre-BOD) / BOD

10.18 C4ISR/IT Installation Status Reviews (As Required)

10.19 Initial Operational Capability (IOC)

10.20 Full Operational Capability (FOC)

10.21 Installation Out-Brief

Table of Contents and Lists Shore Installation Process Handbook xvi

Table of Contents and Lists Shore Installation Process Handbook xvii

LIST OF FIGURES

Figure 1-1. Shore Installation Process Figure 1-2. Shore Installation Process Notional “I Minus” Timeline Figure 1-3. Organizational Relationships for Shore Installations Figure 2-1. Inputs to the Installation Process

Figure 3-1. Work Plan Development and Tasking Figure 4-1. Installation Planning Figure 5-1. Installation Design

Figure 6-1. Pre-Installation Figure 7-1. Installation Performance Figure 7-2. Installation Reporting Flow

Figure 8-1. System Turnover Figure 10-1. Notional MILCON C4ISR/IT Project Organization Figure 10-2. MILCON C4ISR Synchronized Installation Timeline

Figure 10-3. Notional MILCON C4ISR/IT Systems Integration Process Figure 10-4. MILCON C4ISR/IT Integration Process Figure 10-5. Notional MILCON C4ISR/IT Integration Phased Timeline

LIST OF TABLES

Table 1-1. Shore Installation Timeline Milestones Table 9-1. Legend for Deliverable Tables Table 9-2. Shore ALT Deliverables

Table 9-3. Software Delivery Installation Deliverables Table 9-4. Equipment Refresh/Engineering Change Deliverables Table 9-5. Field Change Deliverables

Table 9-6. Mail-Out Deliverables Table 9-7. Standalone Task Deliverables Table 9-8. Documentation Requirements Matrix for Most Common Permanent Installations .. 129

Table 9-9. Installation Documentation Requirements Matrix for Temporary Installations

LIST OF APPENDICES

Appendix A Checklists ...........................................................................................................A-1 Appendix B1 Shore SITREP Requirements ......................................................................... B1-1 Appendix B2 RSIM Weekly Activity Report ....................................................................... B2-1 Appendix C1 RSIM Desired Qualification Standards ......................................................... C1-1 Appendix C2 Shore Installation PE Qualification Standard ................................................ C2-1 Appendix C3 Qualification Standard for IDP and As-Built Approval................................C3-1 Appendix C4 QAE Qualification Standard ........................................................................... C4-1 Appendix D1 Work Scope Form Instructions .......................................................................D1-1 Appendix D2 Work Scope Form............................................................................................D2-1 Appendix E Risk Management Plan .................................................................................... E-1 Appendix F Sample of Work Plan ...................................................................................... F-1 Appendix G Initial Cost Estimate Data Entry .......................................................................G-1 Appendix H POA&M Template ............................................................................................H-1

Table of Contents and Lists Shore Installation Process Handbook xviii

Appendix I Sample of Time Line Summary......................................................................... I-1 Appendix J Site Survey Requirements (with checklist) ....................................................... J-1 Appendix K1 Site Survey In-Brief Outline and Best Practices ...........................................K1-1 Appendix K2 Site Survey In-Brief Example .........................................................................K2-1 Appendix L1 Site Survey Out-Brief Outline and Best Practices ......................................... L1-1 Appendix L2 Site Survey Out-Brief Example ...................................................................... L2-1 Appendix M Site Survey Report Example ............................................................................ M-1 Appendix N Training System Installation Plan Template ....................................................N-1 Appendix O1 Example BESEP Message ..............................................................................O1-1 Appendix O2 Example BESEP Letter ...................................................................................O2-1 Appendix P TEMPEST Requirements Questionnaire (TRQ) ............................................. P-1 Appendix Q1 Installation Design Plan Standard ..................................................................Q1-1 Appendix Q2 Drawing Approval Memorandum Template .................................................Q2-1 Appendix R1 Site Assessment In-Brief Example ................................................................. R1-1 Appendix R2 Site Assessment Out-Brief Example .............................................................. R2-1 Appendix R3 Site Assessment Report Example ................................................................... R3-1 Appendix S PITCO Report .................................................................................................... S-1 Appendix T Baseline Test Message Example ...................................................................... T-1 Appendix U Shore Installation Maturity Milestones ...........................................................U-1 Appendix V1 Installation In-Brief Outline............................................................................V1-1 Appendix V2 Installation In-Brief Example .........................................................................V2-1 Appendix W1 ILS Checklist Outline .....................................................................................W1-1 Appendix W2 Installation Completion Report Template .....................................................W2-1 Appendix X1 Installation Out-Brief Outline .........................................................................X1-1 Appendix X2 Installation Out-Brief Example ......................................................................X2-1 Appendix Y MILCON C4ISR/IT Integration Process Documentation...............................Y-1 Appendix Z Project Controls Management .......................................................................... Z-1 Appendix AA Acronyms and Abbreviations ........................................................................AA-1 Appendix AB IDP Exemption Forms.................................................................................... AB-1 Appendix AC Shore Installation Standards and References ................................................ AC-1 Appendix AD Shore Regions .................................................................................................AD-1 Appendix AE SIPH Crosswalk ............................................................................................. AE-1

Section 1 – Introduction Shore Installation Process Handbook

1.0 INTRODUCTION

1.1 Background

When best practices are formalized as defined processes and they are effectively implemented with competent staff, they help organizations bring order, predictability, and higher levels of productivity and quality to products and services. Process maturity can be defined as the extent to which a specific process is explicitly documented, managed, measured, controlled, and continually improved. Process mature organizations have processes that are well-defined, accurately communicated and followed; clearly defined roles and responsibilities; established systems to implement, measure, and improve processes; and they have a high track record of success.

This handbook documents the Shore Installation Process (SIP) that is based upon decades of installation experience and lessons learned. When implemented correctly the SIP minimizes cost, and improves performance and customer satisfaction. This process is used by Space and Naval Warfare Systems Command (SPAWAR), Program Executive Offices (PEOs), subordinate commands, and contractors regardless of funding source when installing Command, Control, Communications, Computers, Intelligence, Surveillance, and Reconnaissance (C4ISR) systems and other electronic systems at shore facilities. This handbook was initially published in September 1999. Version 2.0 was published in June 2003, and Version 3.0 was published in October 2009. Version 4.0 provides a general update and incorporates additional lessons learned, process improvements, and organizational changes.

1.2 Handbook Structure

The body of this handbook consists of ten sections including an introductory section, a section on installation process inputs, six sections on the major process steps (arranged in the order that they occur), a section covering how the basic process can be tailored for a wide range of projects, and a section on requirements for C4I facility Military Construction (MILCON) projects and other large complex projects. Each section refers to numerous appendices that provide checklists, templates, examples, and other reference material.

1.2.1 Section 2 (Process Input Development). Figure 1-1 shows the key process inputs covered by Section 2. These inputs feed into the Work Plan Development part of the process. Section 2 describes activities that are usually performed by a Program Office preparing to task an installing activity to install a number of systems that it has acquired or is in the process of acquiring. If the sponsoring activity is not a Program Office, equivalent preparations will be the responsibility of either the sponsoring activity or the installation activity. If the efforts will not be completed by the sponsoring activity or other stakeholders, the installing activity will need to be funded to complete them. All required activities (e.g., Certification and Accreditation) should be identified, coordinated with the stakeholders, and clearly assigned in the Base Electronic System Engineering Plan (BESEP) to avoid installation delays, cost overruns, and customer dissatisfaction.

1.2.2 Sections 3 through 8 (Typical Process from Start to Finish). Sections 3 through 8 cover the six basic phases of the shore installation process and their outputs shown in

Section 1 – Introduction Shore Installation Process Handbook

Figure 1-1. Installation projects will normally use the six phases covered by these six sections. The sections are designed to cover the actions needed to install a system consisting of hardware and software components. The content can be applied to special case installations (covered by Section 9) and complex installations (covered by Section 10). The six phases are:

Work Plan Development and Tasking (Section 3) Installation Planning (Section 4) Installation Design (Section 5) Pre-Installation (Section 6) Installation Performance (Section 7) System Turnover and Closeout (Section 8)

1.2.3 Structure of Sections 2 through 8. The structures of Sections 2 through 8 are very similar in that:

Each section contains a “block diagram flow chart” similar to Figure 1-1 that pictorially documents the major elements of the process detailed in that section.

The details within the section expound upon each block in the diagram.

Major “products” of the block diagram are shown above and below the block in which they occur.

The end of each section refers to a checklist contained in Appendix A of this handbook. The checklist provides an aid for the process user to double check that all relevant elements of that section have been completed. Completion of the checklist for that section is the last major block on each section’s “block diagram flow chart”.

Each step of the process is a precursor for the step that follows. However, in many instances parallel activities do occur.

Detailed templates or samples of documentation required to support the major products in each section of the process are included as appendices to the handbook.

1.2.4 Section 9. Section 9 describes how installation documentation can be tailored to meet the needs of different types of installations. It defines a variety of installation categories and subcategories, provides tables that can be used to determine the documentation required based on the subcategories, and provides tailoring discussions for different types of common installation documentation.

Figure 1-1. Shore Installation Process

Inputs to the Installation

Process Section 2

Advance Planning Planning Production and Acceptance Design

End Shore Installation Process or Feed Larger

Process covered by Section 10

Start Shore

Installation Process or Continue from Larger Process covered by Section 10

Work Plan Development &

Tasking Section 3

Installation Planning Section 4

Installation Design

Section 5

Pre-Installation Tasks

Section 6

Perform Installation Section 7

System Turnover Section 8

O ut pu ts

O ut

Work Scope Description System Drawings Fielding Plan Funding Plan Certification & Accreditation Logistics Materials CM Plan Standard System SOVT

Approved Work Plan Estimate & Schedule

Funding

POA&M

Site Survey Report In/Out-Briefs SITREPs

BESEP

TSIP

IDP

Software

Configuration Platform SOVT

PITCO

Training

CDMD-OA

Repository SITREPs

System Equipment Logistics Support Materials PITCO Reports FRCB Approval SITREPs

Installed Systems SITREPs

Signed SOVT Operational System In/Out-Briefs Final As-Builts Updated CDMD-OA Updated Repository Installation Completion

Report Completion Message Final SITREP Task Closeout

O ut

Tailoring Section 9 (Can change required outputs of Sections 2-8)

Is tailoring appropriate

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1.2.5 Section 10. Section 10 provides guidance for the Shore Installation Process focused on Military Construction (MILCON) and other large or special interest projects. Some projects can require SPAWAR engagement for up to six to eight years before a facility becomes fully operational. This section has subsections that cover the Purpose and Background followed by a treatment of the following topics that refers the reader to appendices containing detailed guidance on project control, document preparation, and other relevant information. It covers:

Project requirements identification.

Organizational structure, roles and relationships.

Phases of the MILCON C4ISR Integration Process:

Pre-Project Award Requirements Identification.

Integrated Systems Design.

Installation Design.

Production/Execution.

Operational Capability.

Risk management.

Establishing the program and project office team.

Entrance and exist criteria for process gate reviews.

1.3 Funding Milestones

The Navy’s budgets are based on annual appropriations. A notional list of timeline milestones based upon fiscal realities and comptroller benchmarks is outlined in Table 1-

1. The steps depicted in Table 1-1 notionally begins in December with identifying Fielding Plan requirements for the following fiscal year (FY+1) appropriation, which is defined as the FY+1 Work Plan (WP). The Work Plan lists all installations with proposed schedule dates, equipment availability, mission critical dates if applicable, and programmed costs. See Appendix A for a detailed listing of required information.

Planned installation projects for FY+1 should be fully described in the Fielding Plan and accompanying Work Scope description and approved Installation Requirement Drawing (IRD) Package. These documents shall be provided to the IA (typically a SPAWAR Systems Center (SSC) Installation Management Office (IMO)) no later than May for scheduling and cost estimating activities. The IA estimates and prepares an initial schedule for each project taking into consideration all available scheduling data including customer blackout dates resulting from operational/exercise commitments.

When possible, installations are planned, estimated, and executed in a consolidated fashion with other installations. For details on IA responsibilities see Section 1.7.4.

The cost estimates and initial schedules for the FY+1 installations are due from the IA within 60 days (by July). This information is used to finalize work requirements with the budget for the coming year.

All issues related to Work Scope or cost estimates are resolved by August or within 30 days of receipt of an estimate if the estimate is for a late addition to the Fielding Plan.

An approved Work Plan along with Funding Documents is provided to the IA at the beginning of each fiscal year. This gives the IA the entire fiscal year for execution.

Subsequent revisions to the Work Plan should be estimated and scheduled by the IA

Section 1 - Introduction

Section 1 – Introduction Shore Installation Process Handbook within 30 days. For these subsequent additions to the Work Plan, approval and funding shall be provided within 60 days of receipt of an acceptable estimate.

To meet comptroller benchmarks, all onsite installation work is to be started no later than 30 December of the following fiscal year (15 months). Funds are to be expended by 30 March of the following fiscal year (18 months). The more challenging projects may need design and production activities separated into multiple fiscal year tasks. However comptroller rules also requires each task to result in entirely completed deliverables.

The Installation Management Activity (IMA) and the Program Manager play a key role in planning and performing activities for installations of SPAWAR products sponsored by a Program Office. See Sections 1.7.1 and 1.7.3. Installations that are funded by an organization outside of Team SPAWAR may not have a SPAWAR Program Office involved. If a SPAWAR Program Office is not involved, the IMA will work with the Funding Sponsor and the Installation Activity (IA) to ensure that project milestones can be met. An installation funded by a non-SPAWAR organization is referred to as an Other Command Funded (OCF) installation. OCF installations often have to meet compressed schedules that do not allow them to meet the timeline milestones shown in Table 1-1.

Table 1-1. Shore Installation Timeline Milestones

Dec Program and Platform Manager start identifying Fielding Plan requirements for the following Fiscal Year (FY+1) Work Plan

Assess availability of equipment Consider Mission Critical Dates and related Afloat requirements Assign preliminary installation dates Look for opportunities for integration

Ensure that installation scope is fully defined

Validate IRD development status to support IMO cost estimating

May Provide Fielding Plan requirements for FY+1 to the IA for cost estimating.

Jul IA submits cost estimates and initial schedules for the FY+1 Work Plan.

Aug IMA resolves all cost estimate or Work Scope issues for the FY+1 Work Plan.

Sep Sponsoring activity provides an approved Work Plan to the IA and initiates Funding Document preparations.

Oct Sponsoring activity funds installations for the new fiscal year and IA commences installation planning.

1.4 Milestones for Routine PEO Installations

Program Office systems are required to have approved system installation and logistic support documentation prior to entry into the Work Plan. Figure 1-2 provides a summary of process steps and a notional installation start minus number of months’ timeline (e.g., I - 36 months) for typical shore installation projects. Appendix U also provides a summary chart listing the key events associated with most SPAWAR shore installations and the requirements within the SIPH for when those events must be completed.

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1.5 Milestones for Emergency Installations

In emergency situations, SPAWAR has the ability to accomplish installations in a very short amount of time using techniques that would not be appropriate or perhaps even permitted under normal circumstances. Emergency situations are unique occasions where an installation needs to occur as soon as possible for unforeseen operational, national security or safety reasons. A lack of planning on the part of a program office or installation activity causing milestone events to be behind schedule does not constitute an emergency. In actual emergency situations, the IMA shall establish that a genuine emergency exists and will coordinate the installation schedule of events to ensure that:

The best available personnel are assigned to complete the work needed to address the immediate emergency.

After the immediate emergency is addressed, follow-up action is taken to ensure that the installation is properly documented and that the site is provided with the support documentation and training they need to operate and maintain the installed system.

1.6 Milestones for OCF (Non PEO) Installations

An installation task funded by a non-SPAWAR organization and executed by a SPAWAR activity is referred to as an Other Command Funded (OCF) installation. With the exception of the Emergency Installations discussed in Section 1.5 above, all OCF installations are still required to comply with the applicable SIPH installation process steps as depicted in Figure 1-2 as well as milestone requirements listed in Appendix U.

Section 1 – Introduction Shore Installation Process Handbook

Figure 1-2. Shore Installation Process Notional “I Minus” Timeline

Fielding Plan

Equip & ILS Product

Initial Schedule

Cost Estimates

Work Plan Approval

Feasibility

Verification BESEP

POA&M

Site Survey

Fund

IDP

Platform Specific

SOVT

Training Materials

Pre- Installation

FRCB

Approval

Installation

Training/ Logistics/ Cutover

SOVT

Execution

As-Builts

Close Out

SITREPs, RSIM WAR, I-1 Review Document Repository

System Turnover & Closeout

Installation Design Planning Work Plan Development

GFM / GFI

IRD

Package

System

SOVT

Work Scope

IA/C&A

Documentation

(e.g., IATO)

I - 17 I - 12 I - 10 I - 6 I - 0 I +3

ILS

Checklist

C4I Road Map

I - 36

ICR

Project Control

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Figure 1-3. Organizational Relationships for Shore Installations

SPAWAR

SYSTEMS

CENTERS

SPAWARSYSCOM HQ

PEOs

Regional Commanders

INSTALLATION

SITES

OPNAV

Sponsors

Program Managers

Training Support Agents

Installation Management

Shore Installation Managers

Program Managers

Training Support Agents

Platform Management

Platform Managers

Installation Activity

Regional Shore Installation Managers

Project Managers

On-Site Gov’t reps

Subject Matter

Experts

Lead Installers

MILCON

OSGRs

TRAINING

INSTALLATION

SITES

Project Engineers

CNIC FLTCYBERCOM/

10TH FLEET NETC

NPDC

Training Centers (Training Agents)

FRD 200

For SPAWAR and related PEO Installations:

The Installation Activity is normally the SSC Installation Management Office (IMO).

The Training Support Agent is normally Program Office associated with the system being installed.

NAVIDFOR

PMWs

USFFC

USCYBERCOM

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1.7 Organizational Structure and Relationships

The following paragraphs define generic roles that are used by the Shore Installation Process. While many generic roles are described, not all roles are necessarily employed for each installation. Individuals can also have more than one assigned role. Figure 1-3 outlines the basic organizational framework and relationships between the organizations and roles described below. Solid lines indicate a directive relationship and/or the direction of information flow. Dashed lines indicate an advisory, customer relations, or reporting relationship. Arrows indicate the direction of these relationships. Program requirements for C4ISR Installations are normally tasked by the Office of Chief of Naval Operations (OPNAV) to Program Managers. Program Managers develop and field systems to meet these requirements. The majority of C4ISR, Information Technology (IT), and Space related installations are under the auspices of Program Executive Office (PEO) C4I, PEO Enterprise Information Systems (EIS), and PEO Space. The SPAWAR Fleet Readiness Directorate (FRD) provides coordination and oversight for all installations and is the Installation Management Activity (IMA). A SPAWAR Systems Center (SSC) normally acts as the Installation Activity (IA) for these organizations.

Commander, Navy Installations Command (CNIC) and Naval Facilities Engineering Command (NAVFAC) organizations are primarily involved with those installations requiring construction activities. The key interface roles within the organizational structure that support the installation process are defined below. The Regional Shore Installation Manager (RSIM) is the primary point of contact between the sponsoring activity, the installing activity and the site receiving installations within the region. The Project Engineer and On Site Government Representative (OSGR) work directly with the installation site. For MILCON and other large project roles, see Section 10.

1.7.1 Program Manager. The Program Manager is the designated individual with responsibility and authority to accomplish program objectives for development, production, and sustainment to meet the user’s operational needs. The Program Manager is accountable for credible cost, schedule, and performance. The Program Manager shall ensure that all members of their Program Office are aware of and comply with Navy policies and required processes including the Shore Installation Process, the Fleet Readiness Certification Board (FRCB) requirement, and the requirement to coordinate all site visits with the RSIM. Program Managers:

Develop Fielding Plans showing when installations of their products are scheduled to be installed.

Develop inputs to the installation process such as Installation Requirements Drawings (IRDs), System Operational Verification Test (SOVT) Documents, and information assurance and logistics support documentation.

Provide funds for installation design and installation execution.

1.7.2 Shore Platform Manager. The Shore Platform Manager handles advanced planning, system integration planning, and configuration management for designated shore platforms. For PEO C4I, PMW 790 is the Shore Platform Manager. The Shore Platform Manager:

Manages system baselines for selected key communications facilities as required by monitoring of changes to site configurations and the impact of these changes

Section 1 – Introduction Shore Installation Process Handbook on C4I capabilities, power, and Heating Ventilating and Air Conditioning (HVAC), planned integration initiatives, and modernization efforts. Baseline configurations are maintained through the development of Functional Interface Drawings (FIDs) using As-Built drawings, data in the SPAWAR PEO Installation Data Environment and Repository (SPIDER), and site visits.

Takes the lead in conducting and developing supporting analyses for key sites to determine required systems to obtain key functional capabilities.

Assesses near and far term requirements and technology advances in relation to senior leadership (OPNAV, Fleet, and PEO) goals and objectives.

Conducts reviews of the installation readiness of various systems proposed for installation by reviewing the maturity/status of required inputs to the installation process before installation projects are turned over to the IMA for execution.

1.7.3 Installation Management Activity (IMA). The IMA is normally that part of the organization that oversees and manages the installation. The IMA is usually a Systems Command (SYSCOM) or Echelon II component organization. For SPAWAR, for example, FRD is the IMA. For MILCONs and other large long range projects not otherwise assigned to a PMW, SPAWAR 4.0D conducts IMA planning, design, and integration management until the installation execution year. The IMA:

Conducts reviews of the installation readiness of various systems proposed for installation by reviewing the maturity/status of required inputs to the installation process before installation projects are accepted by the IMA for execution.

Maintains awareness of issues impacting the success of installations and develops strategies, briefs, and communication plans to achieve fleet buy-in to proposed solutions, overcome challenges, and mitigate cost, schedule and performance risks.

Conducts installation integration planning to ensure optimal use of resources, sharing of best practices and synchronization of efforts to support large integrated installations.

Works with sites and Installation Activity personnel to ensure current and future fielding plans/work plans can be met based upon product delivery schedules the maturity of system documentation, and the availability of funding and personnel resources.

Assists Program Management, Warfare (PMW) Offices with program fielding plans, work plans, work scopes, and other documentation required to support installations.

Coordinates with Program Executive Office (PEO) Program Managers and Installation Activities to ensure timely delivery of site survey and Design Services Allocation (DSA) funding.

Monitors, oversees, and assesses SPAWAR installation quality, performance, schedule and cost. Coordinate and facilitate executive level installation program reviews (cost, schedule and performance) to include planning and execution of SPAWAR funded installations. The Installation Execution Division oversees the SPAWAR Systems Center Pacific Installation Management Office (SSCPAC IMO), the SPAWAR Systems Center Atlantic Installation Management Office (SSCLANT IMO), and associated detachments. The Shore Performance Branch

Section 1 – Introduction Shore Installation Process Handbook of the Installation Performance Division focuses on monitoring the status of C4I installation performance and on process improvement initiatives.

Develops, issues, and trains common Standard Operating Procedures (SOPs) and standard installation performance metrics across all SPAWAR installation activities.

Performing Fleet Readiness Certification Board (FRCB) risk assessments in accordance with SPAWARINST 3090.2, Policy and Procedures for the FRCB Process. The Shore Performance Branch of the Installation Performance Division has responsibility for conducting these assessments for PEO, Other Customer Funded (OCF), and third party (non-SPAWAR) jobs. The IMA provides recommendations to Navy Information Dominance Forces (NAVIDFOR), based upon these assessments, concerning whether planned installations should proceed.

Administers processes to record and coordinate exemption decisions for requests…