NUWCDIVKPT 5216.1H CH-2.pdf

DEPARTMENT OF THE NAVY

N AV AL UN DE R S E A W AR F A R E C E N TE R D IV IS IO N

6 10 D OW E L L S T R E E T

KE YP OR T , W A S H IN G TO N 9 8 3 45 - 7 61 0

NUWCDIVKPTINST 5216.1H CH-2

NUWCDIVKPT/C00

NUWCDIVKPT INSTRUCTION 5216.1H CH-2

From: Commanding Officer, Naval Undersea Warfare Center Division, Keyport

Subj: NAVAL UNDERSEA WARFARE CENTER DIVISION KEYPORT

DOCUMENT AND CORRESPONDENCE PROCESSING PROCEDURES

Ref: (a) OPNAVINST 5400.45A

(b) SECNAV M-5216.5 CH-1

(c) SECNAV M-5210.2

(d) U.S. Navy Style Guide Version 17-4 22 Mar 2017

(e) NUWCHQ/NSWCHQINST 5216.1

(f) NUWCDIVKPTINST 5210.2B CH-1

(g) NUWC Division, Keyport Document Routing Tool User Guide Oct 22

Encl: (1) Correspondence Routing Processes and Procedures

(2) Naval Undersea Warfare Center Division, Keyport Route Sheet

(3) Authorized Signature for Official Correspondence

1. Purpose. To establish policy and guidance to ensure Naval Undersea Warfare Center

(NUWC) Division, Keyport documents and correspondence are properly and consistently formatted and routed throughout the Division.

2. Cancellation. This directive supersedes NUWCDIVKYPTINST 5216.1H CH-1 of 7 Feb 22

3. Background. All information or action documents forwarded for signature by NUWC

Division, Keyport must be properly formatted, controlled, routed, reviewed, approved, distributed and retained. References (a) through (g) govern the formatting and general management of documents and correspondence procedures needed to standardize processes used for preparation and routing of NUWC Division, Keyport documents.

4. Scope and Applicability. This instruction applies to all documents and formal correspondence originated within NUWC Division, Keyport, including all Detachments, Operating Sites, and Naval Sea Logistics Center (NAVSEALOGCEN). For the purposes of this instruction, “correspondence” is limited to official communications.

5. Policy. Documents and correspondence originating from NUWC Division, Keyport, including all Detachments, Operating Sites, and NAVSEALOGCEN must be drafted and routed in a standardized manner to ensure they are properly formatted, review, tracked and recorded.

NUWCDIVKPTINST 5216.1H CH-2

a. Documents or correspondence forwarded through NUWC Division, Keyport for signature or review must be prepared and formatted in accordance with references (a) through (g).

(1) Document and correspondence font must be 10-point to 12-point Courier New Style with correct spacing per reference (b) unless otherwise required.

(2) Enclosures do not have to follow formatting per reference (b); however, formatting must be consistent throughout the document.

(3) The official acronym for Naval Undersea Warfare Center Division, Keyport is

NUWC Division, Keyport.

b. General procedures for routing, reviewing and tracking of documents are contained within enclosure (1) and reference (g). Unless there are unique cases where alternative procedures are directed by higher authority, the procedures outlined in enclosure (1) and reference (g) must be used.

c. Changes to documents configuration, formatting, etc. noted during the routing and review process should be made by the originating Department/Division Administrative Assistant;

content changes are the responsibility of the subject matter expert.

d. Upon signature and final disposition, the document or correspondence must be recorded, stored and retained in accordance with reference (f).

6. Responsibilities. The responsibilities, as defined below are designated to ensure compliance with the instruction designated herein:

a. All NUWC Division, Keyport employees should oversee the implementation of this instruction. In unique cases where documents or correspondence require routing or handling procedures that differ from those delineated in this instruction, the Command Executive

Assistants (EAs) will define the alternative process to be used.

b. All NUWC Division, Keyport employees must ensure all correspondence and documents originated within their Department comply with this instruction as well as references (a) through

(g), as applicable.

c. Document/correspondence originators must draft materials in accordance with applicable references in this instruction, following the procedures outlined in enclosure (1).

d. Department/Division Administrative Assistants will monitor document/correspondence processes and ensure procedures outlined in enclosure (1) and reference (g) are being executed in a timely manner. Department/Division Administrative Assistants must also ensure that all correspondence and documents are properly formatted, routed for review/signature and when action is complete, properly entered in the appropriate document archive(s). They will ensure that proper documentation such as references, enclosures and supporting documents accompany routed material to provide document reviewers and signature authority with necessary information.

e. All correspondence going to Warfare Centers Headquarters (HQ) for review, action, response and/or endorsement should be forwarded to the Command EAs for processing. The

Command EAs will forward correspondence to HQ following procedures outlined in reference

(e).

f. Congressional Inquiries are received, reviewed, signed and distributed by the Corporate

Communications Division, Code 103.

g. Memorandums of Understanding and Memorandums of Agreements are received, reviewed, routed and distributed by the Corporate Operations Department’s Corporate Business

Office Division, Code 106.

7. Action. All NUWC Division, Keyport employees and managers will comply with the policies and responsibilities set forth in this instruction, unless otherwise directed.

8. Records Management. Records created, as a result of this instruction, regardless of media and format, must be managed in accordance with reference (f).

9. Review and Effective Date.

a. Per OPNAVINST 5215.17A, the NUWC Division, Keyport author of this directive will review it annually on the anniversary of its effective date to ensure applicability, currency, and consistency with Federal, DoD, SECNAV, and Navy policy and statutory authority. The annual review must be documented and approved via an OPNAV 5215/40, Instruction Review form.

The approved OPNAV 5215/40 form will be maintained by the Command Directives Manager for a minimum of one year.

b. This directive will automatically expire 10 years after effective date unless reissued or canceled prior to the 10 year anniversary dateor an extension has been granted.

C. P. HOSKINS

Releasability and Distribution: This instruction is not cleared for public release and is available electronically only via https://keyportal.kypt.nmci.navy.mil/sites/Command/DirectivesWorking/KeyPortal%20Web%20Pag e/Keyport%20Directives%20System.aspx https://keyportal.kypt.nmci.navy.mil/sites/Command/DirectivesWorking/KeyPortal%20Web%20Page/Keyport%20Directives%20System.aspx https://keyportal.kypt.nmci.navy.mil/sites/Command/DirectivesWorking/KeyPortal%20Web%20Page/Keyport%20Directives%20System.aspx

REFERENCES

DOCUMENT NUMBER DOCUMENT TITLE

(a) OPNAVINST 5400A Standard Naval Distribution List

(b) SECNAV M-5216.5 CH-1 DoN Correspondence Manual

(c) SECNAV M-5210.2 DoN SSIC Manual

(d) U.S. Navy Style Guide US Navy Style Guide Version 17-4 22 Mar 17

(e)NUWCHQ/NSWCHQINST

5216.1

NAVSEA Warfare Centers Document/Correspondence

Processing Procedures 29 May 15

(f) NUWCDIVKPTINST

5210.2B CH-1

Records Management Program Dec 2018

(g) Document Routing Tool

User Guide

NUWC Division, Keyport Document Routing Tool User Guide

Oct 2022

FORMS/RECORDS

Form / Record Storage

Medium/Location

Custodian Retention Time

NUWC Division, Keyport Route Sheet

EA Wiki Page https://wiki.navsea.nav y.mil/pages/viewpage.a ction?pageId=6629839

Command EAs Indefinitely

REVIEW / REVISION HISTORY

Revision Date Brief Description of Change

G 11/5/2019 Merged NUWCDIVKPTINST 5216.1F, NUWCDIVKPTINST

5216.2G into one. Complete re-write.

H 11/2/2020 Updated instruction enclosures to include current requirements after roll out of the Document Routing Tool

H CH-1 2/1/2022 Updated references

H CH-2 2/9/2023 Updated references, Enclosure (2) Page 3 and Enclosure (3) para 1.

b. (2)

Enclosures

1 Correspondence Routing Processes and Procedures

2 Naval Undersea Warfare Center Division, Keyport Route Sheet

3 Authorized Signature for Official Correspondence https://wiki.navsea.navy.mil/pages/viewpage.action?pageId=66298393

NUWCDIVKYPTINST 5216.1H CH-2

Enclosure (1)

CORRESPONDENCE ROUTING PROCESS AND PROCEDURES

1. Official correspondence which is routed internally through Naval Undersea Warfare Center

(NUWC) Division, Keyport must be developed and routed as outlined below to ensure proper format, review, tracking and recording of official documents.

2. General correspondence for signature/review should be routed using NUWC Division, Keyport’s Document Routing Tool (DRT) Web Application via Google Chrome Web Browser.

Processes and procedures for the DRT can be found in the DRT User Guide. If a document package is sensitive in nature, the documents will be printed and routed by hand via blue portfolio folder, with the command approved route sheet attached to the front of the folder.

3. When routing a document package for signature/review:

a. Subject Matter Experts (SME)/Originator will:

(1) Create the document to include pertinent information, ensuring it is comprehensible with clear intent.

(2) Create and/or provide all enclosures and references attached to the document that is being routed. Ensure that all titles match what is shown on the cover letter to what was written on the references and enclosures.

(3) Provide routing chain to Department/Division Administrative Assistant to include all necessary employees required to review, sign, and/or approve the document.

b. Department/Division Administrative Assistants will:

(1) Review and format all documents per the Department of the Navy (DoN)

Correspondence Manual, if not done by the SME/Originator. Ensure all documents are read in their entirety and check for proper use of grammar, spelling, etc. Confirm that each enclosure and reference title match what is on the letter.

(2) Assign proper Standard Subject Identification Code (SSIC) using SECNAV M

5210.2 (DoN SSIC Manual) and NUWCDIVKPTINST 5210.2B CH-1 (Records Management

Program).

(3) For documents that include data of a sensitive nature, compile all documents received from the SME, print and place documents into a blue presentation portfolio folder or route via encrypted email through the necessary routing chain.

(a) Documents and enclosures being routed via blue folder are to be in order as stated in the letter and placed on the right hand side of the folder behind the cover letter.

(b) References and supporting documents are to be in order as stated in the letter and placed on the left hand side of the folder. If a reference is too large to print, only print the section that is being referenced.

(c) Complete the NUWC Division, Keyport Route Sheet using the routing chain and information provided by the SME. Ensure that each box is completed with the correct information. Further guidance for completing the route sheet can be found on page 2 of the route sheet.

(4) All returned documents should go to the originating Department/Division’s

Administrative Assistant to determine the next step for corrections and/or rework.

(a) If the document includes non-content errors to included, but not limited to, spelling, formatting, spacing, grammar, etc, it is the Department/Division Administrative

Assistant’s responsibility to correct and return the package to the person in the route chain who requested those changes.

1. If routing via the DRT, documents are to be corrected as stated in the DRT

User Guide.

2. If routing by hand via printed hard copy, the document with the requested corrections are to then be folded in half and placed in the left hand side of the folder.

(b) If the document includes changes to the content, the Department/Division

Administrative Assistant will provide the package to the SME/originator to make the requested changes. Once the changes are made, the document will need to be re-routed through the entire route chain once more to ensure all new content is reviewed.

1. If routing via the DRT, documents are to be corrected as stated in the DRT

User Guide.

2. If routing by hand via printed hard copy, the document with the requested corrections are to then be folded in half and placed in the left hand side of the folder.

(5) Items with a short fused due date are to me marked “Hot” in the DRT or on the route sheet so it is easily seen. Document packages that are marked “Hot” are to be closely tracked by the Department/Division Administrative Assistant and, if routing a hard copy, hand delivered to each person in the routing chain to avoid being lost or delayed for an extended period of time.

(6) Once a document has been signed and/or completed, the originating

Department/Division Administrative Assistant will record, store and retain the contents of the package per NUWCDIVKPTINST 5210.2B CH-1 (Records Management Program).

c. Reviewers/routing chain will:

(1) Review the document package in its entirety to ensure content, spelling, formatting, grammar, etc. is correct.

(2) Mark approved via the DRT or hand carry to the next person in the route chain, ensuring no one has been skipped or omitted from the routing list.

d. Command Executive Assistants (EA) will:

(1) For hard copy document packages, enter the document package into the Command correspondence log and assign a tracking number.

(2) Review the document in its entirety to ensure the document is formatted per the DoN

Correspondence Manual and all grammar, spelling, etc. is correct.

(3) Ensure package is adequately routed through Command Staff. EAs may remove

Command Staff names on the route sheet if it is determined unnecessary for those persons to review.

(4) Upon signature and or approval, EAs will date stamp the document if required and for hard copy document packages call the originating Department/Division Administrative Assistant or point of contact for pick up. Documents routed via the DRT will be sent back to the originator upon completion from the final reviewer.

3. Completed documents are to be distributed by the Department/Division Administrative

Assistant or SME/Originator unless a document package is going to HQ or a higher level authority, in which case the Command EA’s will forward.

Enclosure (2)

NUWC DIVISION, KEYPORT CORRESPONDENCE ROUTE SHEET

1. Classification of Attached Material: Should always be unclassified. Classified documents will always be routed securely. Correspondence that contains Personally Identifiable

Information (PII) must have a PII cover sheet and be handled in accordance with SECNAVINST

5211.5F (Department of the Navy Privacy Program) and NAVADMIN 125/10 (Safeguarding

Personally Identifiable Information).

2. Priority/Deadline Date: Provide the date final signature and/or completion is required. If the item is urgent, annotate as “HOT” along with the due date and highlight. The Command Office will accommodate urgent routings when possible while ensuring each individual on the route sheet is given sufficient time to review the package.

3. Recommended Signer/Code: Indicate who is expected to sign the final document;

Commanding Officer, Technical Director, Deputy Technical Director, Deputy Business Director, Executive Officer, Department Head, etc.

4. Document Type: Type of document being routed (letter, instruction, Memorandum of

Agreement, Memorandum, etc.)

5. SSIC/Serial Number: Enter the SSIC as well as the serial number of the document being routed.

6. Subject: Enter subject line/title to match that of the document being routed.

7. Route Chain:

a. Code/Full Name: Provide the full names and codes of those to which the document will be routed.

(1) The Issuing Department/Division Administrative Assistant should review the document to ensure proper formatting, grammar, and enclosures of the package prior to sending it forward to the Department/Division Head.

(2) To determine who should be included in the route chain, please discuss with the

SME.

(3) Ensure that the Department/Division Administrative Assistant is listed on the route sheet to review prior to coming to the Command Office.

(4) When routing correspondence through the Command Office, use the following review chain

(a) Command EAs – Add both

(b) Chief of Staff

(c) Executive Officer

(d) Technical Director’s Deputies (will usually be one of the two noted below)

1. Deputy Technical Director (technical correspondence only)

2. Deputy Business Director (business correspondence only)

(e) Technical Director

(f) Commanding Officer

8. Date In: Provide the date the document was received.

9. Date Out: Provide the date the document was forwarded to the next person.

10. Notes: Provide comments/instructions to route chain.

11. Background: Provide a brief history of why correspondence is being routed.

12. References/Enclosures/Attachments: List all of the supporting documents that are being routed with the package.

13. Recommendations: Indicate who should be signing the document. Also annotate if the document is information only, decisional and/or if it needs to be forwarded outside Naval

Undersea Warfare Center Division, Keyport.

14. Pick up: Enter name/phone number of point of contact (POC) for pickup.

15. POC: Enter Name of person or SME to contact for questions.

16. POC Office Code/ Phone: Enter the POC code and phone number.

17. Date: Indicate the date the route sheet was created.

Enclosure (3)

AUTHORIZED SIGNATURE FOR OFFICIAL CORRESPONDENCE

1. Official correspondence is authorized and/or signed at the lowest possible organizational level to commensurate with that person’s existing authority and areas of responsibility. There are, however, circumstances, issues, and occasions which require the Commanding Officer (CO), or their delegates to sign official correspondence.

a. Official correspondence (external). The following types of correspondence are released and signed only by the CO:

(1) Correspondence that establishes Command policy, addresses major operational issues, or pertains to the ability of Naval Undersea Warfare Center (NUWC) Division, Keyport to carry out its assigned mission.

(2) All official correspondence, other than of a routine nature, which is addressed to either Senior Fleet Commanders, or to Flag Officers and Senior Executives in our Chain of

Command.

(3) Sensitive correspondence, replies of a negative nature denying either significant

Command level requests or change recommendations. Excluded from the scope of this definition are routine replies to correspondence requesting quotes for performance of work and negative responses to other routine matters.

(4) Correspondence involving Command level commendations or censure.

(5) Replies to Congressional inquiries, to the Government Accounting Office, or the

Comptroller General.

(6) All correspondence, other than routine, addressed to the Naval Audit Service, Defense

Audit Service, the Naval Inspector General, and the Inspector General of the Naval Sea Systems

Command.

b. "By direction" Authority (External/Internal):

(1) Correspondence signed "By direction" is prepared in the same format as other official correspondence with the exception of the signature block.

(2) All “By direction” letters must be From: Commanding Officer, Naval Undersea

Warfare Center Division, Keyport. The “By direction” signer cannot have their name/title in the

“From” line.

(3) The signature block must reflect “By direction” under the signature line.

(4) Command Staff, Code 00, must be in the “Copy to” line of all documents signed “By direction”. Please refer to the OPNAVINST 5400.45 (Standard Naval Distribution List) for proper titling.

(5) The following correspondence is generally signed "By direction":

(a) Correspondence and reports concerning routine and technical aspects of a NUWC

Division, Keyport department or office.

Enclosure (3)

(b) Routine correspondence, which is forwarded for information, requesting guidance, or for compliance with higher authority.

2. The following personnel are authorized to sign "By direction" correspondence. This authority cannot be re-delegated without the approval of the CO.

a. Technical Director

b. Deputy Technical Director

c. Deputy Business Director

d. Executive Officer

e. Chief Technology Officer

f. Director of Innovation

g. Chief Engineer

h. Cyber Security, SSTM

i. Military Administrative Officer

j. Detachment Officers in Charge (OIC)

k. Pacific Detachment Director

l. San Diego Detachment Senior Civilian

m. Remote Site Managers

n. Department Heads/Deputy Department Heads

o. Customer Advocates

p. Security Manager

q. Corporate Communications Division Head

r. Technical Warrant Holders

s. Accountable Property Officer

t. Information Systems Security Manager

u. Others as approved by the CO via delegation letter

3. For correspondence relating specifically to Detachment operations, other than those types that are reserved for the CO as stated above, the Pacific and San Diego Detachment OICs have signature authority to utilize their Detachment’s letterhead in accordance with Secretary of the

Navy/Commander, Naval Operations Shore and Fleet Address Listing (Standard Naval

Distribution List) and SECNAV-M 5216.5 CH-1 Correspondence Manual, Chapter 2 paragraph

12.a.(4).