OPNAVINST 8000.16C THE NAVAL ORDNANCE … material/OPNAVINST 800016.pdf3.5 Product Improvement...

THE NAVAL ORDNANCE MAINTENANCEMANAGEMENT PROGRAM (NOMMP)

VOLUME IIISURFACE ORDNANCE

DEPARTMENT OF THE NAVYOFFICE OF THE CHIEF OF NAVAL OPERATIONS

WASHINGTON D.C.

OPNAVINST 8000.16C

1 SEPTEMBER 2006

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OPNAVINST 8000.16C VOLUME III 1 SEPTEMBER 2006

RECORD OF CHANGES

CHANGENO. DATE TITLE OR BRIEF

DESCRIPTION ENTERED BY



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TABLE OF CONTENTS

VOLUME III

SECTION 1

Surface Ammunition

Chapter Subject Page

1.1 Introduction 1-1-1

1.2 Department of Defense (DoD) Interfaces 1-2-1

1.3 Management Information System Links 1-3-1

SECTION 2

Program Management


2.1 General 2-1-1

2.2 The Planning, Programming, and Budgeting System (PPBS) 2-2-1

2.3 Requirements Determination 2-3-1

2.4 Industrial Preparedness Planning (IPP) 2-4-1

2.5 Non-Combat Expenditure Program 2-5-1

SECTION 3

Acquisition Management



3.2 Acquisition Management 3-2-1

3.3 Procurement 3-3-1

3.4 Configuration Management 3-4-1


OPNAVINST 8000.16C VOLUME III 1 JUNE 2006

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Table of Contents - contd.


3.5 Product Improvement Program (PIP) 3-5-1

SECTION 4

In-Service Management


4.1 In-Service Engineering 4-1-1

4.2 Quality Evaluation Program 4-2-1

4.3 Mobile Ammunition Evaluation and Reconditioning Unit (MAERU) 4-3-1

4.4 Deficiency Reporting 4-4-1

4.5 Technical Manuals 4-5-1

SECTION 5

Maintenance Management


5.1 Maintenance Functions 5-1-1

5.2 Maintenance Process 5-2-1

SECTION 6

Inventory Management


6.1 Inventory Management System Overview 6-1-1

6.2 Allowance Lists 6-2-1

6.3 Cataloging and Item Identification System 6-3-1

6.4 Receipt, Segregation, Storage, and Issue (RSS&I) 6-4-1



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6.5 Requisition and Return Management 6-5-1

6.6 Transaction Reporting 6-6-1

6.7 Stratification Process 6-7-1

SECTION 7

Logistics Management Support


7.1 Explosives Safety Management 7-1-1

7.2 Physical Security Management 7-2-1

7.3 Transportation Management 7-3-1

7.4 Environmental Security Management 7-4-1

SECTION 8

Ordnance Demilitarization/Disposal Management


8.1 Disposal Responsibilities 8-1-1

8.2 Disposal Process 8-2-1

SECTION 9

Security Assistance Program Management


9.1 Foreign Military Sales (FMS) 9-1-1

9.2 Standardization Agreements (STANAGs) 9-2-1


OPNAVINST 8000.16C VOLUME III 1 JUNE 2006

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SECTION 10

Training


10.1 Systems Acquisition Training 10-1-1

10.2 Ordnance Specialty Training 10-2-1

10.3 Ordnance Training/Qualification/Certification 10-3-1

SECTION 11

Surface Launched Missiles



11.2 Organizational Level Maintenance 11-2-1

11.3 Intermediate Level Maintenance 11-3-1

11.4 Depot Level Maintenance 11-4-1

SECTION 12

Airborne Mine Neutralization Systems


12.1 SEAFOX 12-1-1

12.2 Rapid Airborne Mine Clearance System (RAMICS) 12-2-1



1-i

SECTION 1

Surface Ammunition

Table of Contents



1.2 Department of Defense (DoD) Interfaces 1-2-1

1.3 Management Information System Links 1-3-1



1-1-i

CHAPTER 1.1

Introduction

Table of Contents

Paragraph Subject Page

1.1.1 General 1-1-1

1.1.2 Objective 1-1-1

1.1.3 Background 1-1-1

1.1.4 Terminology 1-1-2

1.1.5 Scope 1-1-2

1.1.6 Policy 1-1-3

1.1.7 Command Relationships 1-1-3

List of Illustrations

Figure Title Page

1-1-1 Command Relationships 1-1-4



1-1-1

CHAPTER 1.1

Introduction

1.1.1 General. This chapter addresses functional areasof inventory management. This includes the distributionand stocking of non-nuclear ordnance; requisitioning,returning, issuing, receiving, and storing of ordnanceitems; the reporting of physical assets; the logistics sup-port interfaces between the U. S. Navy and the U. S.Marine Corps, U. S. Coast Guard, and the Single Man-ager for Conventional Ammunition (SMCA), respective-ly; and the management responsibilities for mobilizationplanning in support of contingencies.

1.1.1.1 Asset Allocation. The inventory managementfunctions pertain to the management of a multi-billiondollar inventory consisting of a wide range of end itemsand components. These items represent the aggregatematerial on hand, or due in, needed to satisfy the com-bat War Reserve Material Requirement (WRMR) andNon-Combat Expenditure Allocation (NCEA) non-nu-clear ordnance stocking objectives, afloat and ashore.Total Fleet requirements are allocated in accordancewith OPNAV allocation letters, and within budgetconstraints. Shortages to these allocation goals are satis-fied mainly through new production or maintenance ac-tions. Assets due in from production are consigned ona “fairshare” basis to satisfy claimant WRMR/NCEAshortfalls. Non-nuclear ordnance is allocated and distrib-uted to the afloat forces to fill allowances of combatand auxiliary ships. A distinctive feature of the ord-nance material management system is the positioning ofretail replenishment stocks at tidewater locations to fa-cilitate over-the-dock accessibility for on-loading andoff-loading of combatants and auxiliary ships.

1.1.2 Objective. The objective of Sections 1-10 of thisvolume is to consolidate the existing policies and proce-dures governing Surface Ammunition (2T Cognizance)(Cog) management. These policies and procedures aredesigned to provide and maintain logistics support ofthe operating forces and ensure the maximum readinessof the in-service surface ammunition stockpile. As acorollary to its overall objective, this volume is intendedto fulfill the following objectives and uses:

a. To serve as a guide and reference document foroperational and support personnel who are concernedwith, and responsible for, directing and implementingsurface ammunition policies and procedures.

b. To depict the relationship of the surface am-munition functional areas to the logistic lifecycle.

c. To highlight the responsibilities and relation-ships among the shore activities and Fleet units inachieving and maintaining the maximum level of sur-face ammunition support required by the naval forces,ashore and afloat.

d. To provide reference, where appropriate, to of-ficial publications and detailed documents concerningsubject matter areas.

Sections 1-10 of this volume is broadly focused andpresents an overview of the significant management pro-cesses and functional areas applicable to surface ammuni-tion. As such, it is not intended to take the place ofcurrent instructions, but to provide a general understand-ing and reference based on these authoritative sources.

1.1.3 Background.

1.1.3.1 Authority. This Surface Ammunition Manage-ment Sections 1-10 of this volume is published anddistributed by direction and authority of the Command-er, Naval Sea System Command (COMNAVSEASYS-COM) Conventional Ammunition Program Office underits assigned responsibilities for program management of2T Surface Ammunition.

1.1.3.2 The development Sections 1-10 of this volumehas proceeded from guidance addressing the manage-ment of surface ammunition being dispersed in a wideand diversified array of instructions, technical directives,handbooks, correspondence, and other documents. Guid-ance has emanated from numerous sources and levelswithin the surface ammunition community and is usual-ly concerned with distinct and specialized functionalareas of surface ammunition management without refer-ence to its impact on the overall logistic support pro-cess. By gathering these dispersed statements of policyand procedures and integrating them within a singlepublication, it is intended to present herein the diversi-fied world of surface ammunition in a manner that re-lates its parts to the whole. Attention has been directed,where appropriate, to functional areas where specificwritten guidance is not available.



1-1-2

1.1.3.3 Subject Areas. The subject areas addressed inthe narrative are functionally organized and arranged toensure continuity and facilitate ready reference. Thecoverage ranges from the point of higher command pro-viding guidance and direction, through systems com-mand implementation of guidance and each supportingactivity’s responsibilities and execution, to implementa-tion by the Fleet. At each level, the directives, responsi-bility assignments, and the chronology of the proceduralsteps are indicated.

1.1.4 Terminology. Sections 1-10 of this volume pri-marily addresses surface ammunition specifically identi-fied by Cog symbol “2T” (except underwater minecomponents and some countermeasures) and subject tothe program management of the NAVSEA ConventionalAmmunition Program Office and the inventory manage-ment of the Naval Operational Logistics Support Center-AMMO (NOLSC-AMMO). Where policies and proce-dures are not Cog specific, the material contained inthis volume may be used to understand the managementof other non-nuclear ordnance items. Each ordnanceCog is defined in NAVSUP P-724. Although referencesprovided for portions of this volume are the same refer-ences for the other ordnance Cogs, specific directionscontained in this volume cannot be applied as authorita-tive to management of other ordnance. To assist in de-termining if the guidance provided is specific to surfaceammunition or is generic to non-nuclear ordnance, thefollowing terms derived from the Department of De-fense (DoD) dictionary will be used throughout thisvolume (except when included in a published name/title).

a. Non-Nuclear Ordnance. All munitions contain-ing non-nuclear explosives, and biological and chemicalagents. This includes bombs, and non-nuclear warheads;guided missiles, and ballistic missile components; artil-lery, mortar, rocket, and small arms ammunition; allmines, torpedoes, and depth charges; demolitioncharges; pyrotechnics; clusters and dispensers; cartridgeand propellant actuated devices; electro-explosive de-vices; clandestine and improvised explosive devices; andall similar or related items or components. Any time theterm ordnance is used it is referring to non-nuclear ord-nance.

b. Ammunition. Non-nuclear ordnance Cogs (2E,2T, and 0T) assigned to the SMCA that are chargedwith non-nuclear explosives, propellants, pyrotechnics,initiating composition, biological, or chemical materialfor use in military operations, including demolitions;and all similar or related items or components. Certain

suitably modified ammunition can be used for training,ceremonial, or nonoperational purposes.

c. Weapons. Non-nuclear ordnance Cogs (all oth-ers) not assigned to the SMCA that are charged withnon-nuclear explosives, propellants, pyrotechnics, initi-ating composition, biological, or chemical material foruse in military operations, including demolitions; and allsimilar or related items or components. Certain suitablymodified weapons can be used for training, ceremonial,or nonoperational purposes.

1.1.5 Scope. Sections 1-10 of this volume is designedto support the Chief of Naval Operations (CNO) readi-ness objectives by ensuring timely and effective Fleetlogistics support. It describes the standard operating pol-icies and procedures for program, acquisition, in-service,maintenance, inventory, and demilitarization/disposalmanagement, logistics management support, security as-sistance program, and training functions and applies toall Navy and Marine Corps activities concerned wtihnaval surface ammunition and associated equipment.The following types of surface ammunition are covered:

a. 2T Cog Ammunition.

(7) Ship gun ammunition 20mm to 16 inch ser-vice and training rounds including cartridges, projec-tiles, cases, fuzes, primers, propelling charges andmiscellaneous subassemblies.

(8) Small arms and landing party ammunitionfor shotguns, rifles, pistols, revolvers, machine guns andlanding force ammunition including hand grenades andrifle grenades.

(9) Pyrotechnics including surface flares, dyemarkers, location markers, illuminating (ground and ma-rine) signals, smoke (ground and marine) signals, signalkits, color burst units, etc.

(10)Demolition explosives and materials includ-ing blasting caps, demolition charges and containers,detonating cord, demolition kits, firing devices, igniters,primers, cryptographic equipment destroyers, chargesand impluse cartridges.

(11)Cartridges and cartridge actuated devices.

(12)Miscellaneous ammunition components andammunition details including pallets, pallet adapters,pallet crates, and shipping and storage containers specif-ically designed for conventional ammunition items otherthan air ammunition items.



1-1-3

b. Ammunition and logistics support equipmentassociated with the above listed 2T Cog ammunition.

1.1.6 Policy.

1.1.6.1 The CNO provides the basis for this volumeand sets policy for the assignment of managementresponsibilities to all activities of the naval establish-ment concerned with the acquisition, maintenance,inventory, logistics support, or demilitarization/disposalof surface ammunition and equipment.

1.1.6.2 Conventional Ammunition Acquisition ProjectManager (APM). The PEO-IWS3C Conventional Am-munition APM, a subordinate to the Program ExecutiveOfficer for Integrated Warfare Systems (PEO-IWS) isassigned the APM responsibilities for surface ammuni-tion (2T Cog) by Charter. The Charter assigns specificresponsibilities and provides policy concerned with theacquisition and maintenance of surface ammunition andequipment.

a. APM Background. Because the management ofthe 2T Cog Ammunition Program was stable and NAV-SEA was required to reduce headquarters staff, the pro-gram was identified for transfer of ammunitionacquisition and maintenance management to a field ac-tivity. In May of 1988, 2T Cognizance ConventionalAmmunition Program Management was transferred fromthe Weapons and Combat Systems Directorate (SEA-06)to NSWC Crane Division. 2T Cog AMMO ProgramManagement Office (PM4), was establisihed at NSWCCrane with program oversight remaining in SEA-06. In1993 program oversight was transferred to SEA-91W2,Gun Weapons Systems (GWS). In 1995, the ProgramManager Office for Naval Surface Fire Support Pro-

gram, PMS-429 was established in SEA-91. Shortlythere after, in 1996, both PMS-429 and GWS weretransferred to the Program Executive Officer for TheaterSurface Combatants, PEO-TSC, and joined together.Oversight then began by PMS-429. In 1999, oversightwas discontinued as PM4 become a division withinPMS-429. In 2000, another reorganization movedPMS-429 from PEO-TSC and joined it to the ProgramExecutive Officer for Surface Strike PEO-(S). The of-fice designation changed from PMS-429 to PMS-529. InNovember 2002, PMS-529 was migrated to the newlyformed PEO-IWS. In January 2003, PMS-529 was re-designated to PEO-IWS3C, the Naval Surface Fire Sup-port Office. In July 2004, it was renamed the NavalGunnery Project Office.

1.1.6.3 Fleet Support. The APM (PEO-IWS3C/PM4)is assigned responsibilities and provides policy formaintenance support for 2T cognizance conventionalammunition. NOLSC-AMMO is assigned responsibilitiesand provides policy for inventory management, ord-nance information systems, and logistics support of non-nuclear ordnance and equipment.

1.1.6.4 Lifecycle Management. The APM (PEO-IWS3C/PM4) is responsible for lifecycle management of2T surface ammunition.

1.1.7 Command Relationships. Figure 1-1-1 depictsthe chain of command relationships of the commandsand activities involved in the processes of surface am-munition management. As each management area is ex-plained in the following sections, the commandsinvolved will be identified and their responsibilitieslisted.



1-1-4

Secretaryof the Army

JointMunitionsCommand

(JMC)

CommanderNavy

Installations

Secretaryof

Defense

Office of theSecretary of

Defense

TYCOMS e.g. CNSF

Secretaryof the Navy(SECNAV)

Commandant ofMarine Corps

(CMC)

NOLSC-AMMO

Asst SECNAVResearch

DevelopmentAcquisition (RDA)

CFFC

WPNSTADETS

Naval SupplySysComNAVSUP

Naval SeaSysComNAVSEA

Chief of StaffArmy(CSA)

PEO-AMMO(SMCA)

UNIFIEDCOMBATTANTCOMMANDERS

FleetWeaponsStation

COMPACFLT

President(Commander

in Chief)

USDAT&L

DDESB PEO

PM

Joint Chiefs ofStaff

(JCS)

WARFARECENTERS

PEO

PM

Army Mat’lCommand

PM JointServices

JOCG

Munitionsand Logistics

ReadinessCenter

(MLRC)

Chief of NavalOperations

(CNO)

WARFARECENTERDIVISIONS

NOTES:

AMC Army Material Command

ASN (RDA) Assistant Secretary of the Navy for Research Development and Acquisition

CFFC Commander Fleet Forces Command

CMC Commandant of the Marine Corps

CNO Chief of Naval Operations

CNSF Commander Naval Surface Forces

CSA Chief of Staff of the Army

DDESB Department of Defense Explosive Safety Board

EDCA Executive Director for Conventional Ammunition

JCS Joint Chief of Staff

JMC Joint Munition Command

JOCG Joint Ordnance Commanders Group

MLRC Munitions and Logistics Readiness Center

NOLSC-AMMO Naval Operational Logistics Support Center - Ammunition

NAVSEA Naval Sea Systems Command

NOSSA Naval Ordnance Safety and Security Activity

PEO Program Executive Officer

PM Program Manager

SECNAV Secretary of the Navy

SMCA Single Manager for Conventional Ammunition

TYCOM Type Commanders

USD (AT&L) Under Secretary of Defense for Acquisition Technology and Logistics

WPNSTA Weapons Station

NOSSA

EDCA

NumberedFLEETS

FLEET Unit/Activity

Figure 1-1-1. Command Relationships



1-2-i

CHAPTER 1.2

Department of Defense Interfaces

Table of Contents


1.2.1 General 1-2-1

1.2.2 The Single Manager for Conventional Ammunition (SMCA) 1-2-1

1.2.3 Joint Ordnance Commanders Group (JOCG) 1-2-4

1.2.4 Department of Defense Explosive Safety Board (DDESB) 1-2-6


Figure Title Page

1-2-1 JOCG Organizational Structure 1-2-7



1-2-1

CHAPTER 1.2

Department of Defense Interfaces

1.2.1 General. To fully understand how the Navymanages surface ammunition, an understanding ofessential groups and organizations which have beenformed at the DoD level is required. This chapter willidentify those groups and organizations and explaintheir role in ammunition management.

1.2.2 The Single Manager for Conventional Am-munition (SMCA).

1.2.2.1 Background. The origin of the single managerconcept was the perceived need to achieve significanteconomies by consolidating duplicative managementwithin the supply systems of the Military Services.Each service independently procured, stocked, anddisposed of common support items (nuts, bolts,screws, etc.), as well as the more sophisticated andexpensive commonly used items. Duplication of func-tions also extended to principal items, such as non-nu-clear ordnance. The problem of duplicate item man-agement became even more pronounced as itemsincreased in number and complexity. Long standingconditions of item dispersal and misdistribution, multi-ple procurements, lack of standardization, and poorlycoordinated production base planning, among otherthings, highlighted the need to place such items undera single manager organization. This was the DefenseSupply Agency (DSA) and its network of commodityoriented support centers. DSA became the DefenseLogistics Agency (DLA) in 1977. To streamlineordnance management, DoD 5160.65-M of 1 April1989, designating the Secretary of the Army as theSMCA. The Secretary of the Army has the power todelegate, within the Army, those authorities for theperformance of the functions outlined in Departmentof Defense Directive (DoDD) and Department ofDefense Instruction (DoDI). Today’s SMCA objectivesspecified in DoDD 5160.65 of 14 April 2004, includesthe following:

a. Achieve the highest possible degree of effi-ciency and effectiveness in the DoD operations opera-tions required to acquire top quality conventional am-munication for U.S. Forces.

b. Integrate the wholesale conventional ammuni-tion logistics functions of the Military Departments to

the maximum extent practicable, thereby eliminatingunwarranted duplication and increasing conventionalammunition program. Manage and invest in an inte-grated logistics base supporting assigned conventionalammunition requirements.

c. Use acquisition strategies that stabilize thebusiness environment and provide incentives for pri-vate investment in the production base. Rely on theprivate sector to create and sustain ammunition pro-duction assests in response to production contractsand justiry for contingency readiness expanded pro-duction capability. To the maximum extent feasible,transition Government–owned ammunition productionassets to the private sector while preserving the abili-ty to conduct explosives handling operations safety.

1.2.2.2 Charter. The Charter of the SMCA issued16 August 2004 states “The SMCA mission, as out-lined in DoDD 5160.65, is to perform DoD conven-tional ammunition mission functions, as defined inDoDI 5160.68. Mission functions include: Acquisition(including research, development, test and evaluation;Technical Data/Configuration Management; productionbase), wholesale logistics integration, (including sup-ply, distribution. transportation and handling, storage,quality assurance, maintenance, safety, security, reno-vation), demilitarization and disposal, financial man-agement (planning, programming, budgeting, and exe-cution), personnel and unit training, and implementingregulations and assessment. DoDI 5160.68 of 22 Dec2003 states that for wholesale inventories, the singlemanager would do the following:

a. Provide the specific inventory managementfunctions defined below for assigned conventionalammunition stored at SMCA facilities. These func-tions may be provided for Military Service retaineditems on a cost reimbursable basis, as allowed byDoDI 4000.19.

(1) Responsibility for custodial accountabilityfor assigned conventional ammunition. The SMCA isrelieved of custodial accountability on receipt by theMilitary Service accountable officer at the first retailpoint or consumer level.



1-2-2

(2) Report as required by the Military Ser-vices the status of assigned Military Service ownedassets.

(3) Perform physical inventories per DoD5100.76M.

b. Operate SMCA installations and facilities tosupport the Military Services conventional ammuni-tion stockpile.

c. Maintain a wholesale distribution system formeeting projected needs of the Military Services.

d. Issue wholesale stocks based on documenta-tion transmitted by the Military Services.

1.2.2.3 SMCA Assigned Ammunition. DoDI 5160.68assigns the following conventional ammunition item tothe SMCA: small arms, motar, automatic cannon,artillery and ship gun ammunition; bombs; unguidedrockets, projectiles, and submunitions; chemical am-munition with various fillers; land mines; demolitionmaterial; genandes; flares and pyrotechnics; all compo-nent items such as explosives; propellants, warheads(with various fillers, such as high explosive, illuminat-ing, incendiary, anti-material, and anti-personnel),fuzes, boosters, and safe and arm devices in bulk,combinations, or separately packaged items of issuefor complete round assembly; and related ammunitioncontainers, packing and packaging materials.

1.2.2.4 Service-Retained Ammunition. Certain ord-nance items are specifically excluded from the SMCAassignment and are retained for service management.The non-SMCA items are: guided projectiles, rockets,missiles, and submunition, naval mines, torpedoes,depth charges, nuclear ammunition, and included itemssuch as warhead, warhead sections, projectiles, demoli-tion munitions, and nuclear training ammunition;cartridge and propellant actuated devices; chaff andchaff dispensers; guidance kits for bombs and otherammunition; swimmer weapons; explosive ordnancedisposal tools and eqiupment; and their related am-munition containers, packing and packaging materials.

1.2.2.5 SMCA Responsibilities. The Secretary of theArmy delegated authorities conferred by DoDI 5160.68and Section 806 of the Strom Thurmond NationalDefense Authorization Act for Fiscal Year 1999 to theAssistant Secretary of the Army (Acquisition Logisticsand Technology) (ASAALT) https://webportal.saalt.ar-my.mil. The execution of these responsibilities isfurther delegated to the U.S. Army Program Executive

Office, Ammunition (PEO-Ammo) as the SMCAExecutor. ASAALT delegated the mission of monitor-ing and assessing the execution of the SMCA missionfunction to the Executive Director for ConventionalAmmunition (EDCA) http://www.amc.army.mil/edca.The EDCA monitors and assesses the execution of theSMCA mission as it relates to joint service activities.The Commanding General (CG), Joint MunitionsCommand (JMC), is delegated the responsibility forthe conduct of SMCA field operations. Field activitiessupporting the SMCA consist of ammunition arsenals,activities, depots, and plants under the control of JMC.

1.2.2.6 SMCA Executor. The SMCA Executor (PEO-Ammo) is responsible for the overall execution of theArmy’s SMCA mission. The SMCA Executor willintegrate and execute the SMCA functions outlined inDoDI 5160.68 for the Services to include:

a. Provide support for the Military Services re-quired in planning, programming, and budgeting forresources necessary to accomplish their responsibili-ties as specified in DoDI 5150.68.

b. Develop and implement processes for inte-grated planning and prioritization of Services SMCA-assigned ammunition requirements.

c. Ensuring that the Military Services interestsare faily and appropriately represented in SMCA ac-tivities (e.g. Configuration Control Boards, SourceSelection, Quality Reviews, etc.).

d. Providing the mechanisms and processes tolink all stateholders participating in SMCA activitiesinto a single enterprise to support and improve theMilitary Services needs in wartime and peacetime op-erations.

e. Managing and executing the authority con-ferred by Section 806.

1.2.2.7 Executive Director for Conventional Am-munition (EDCA). The ASAALT has designated theU.S. Army Materiel Command (AMC) Deputy Com-manding General as the Executive Director for Con-ventional Ammunition (EDCA). Responsibilities in-clude oversight and assessment of the SMCA Executorin the execution of the mission responsibilities. TheEDCA shall be supported by a joint-staffed office ofsenior service military and civiliain ammunition man-agement specialists. The office of the EDCA assistsin the execution of the assigned mission to include:



1-2-3

a. Monitor and assess the performance of theSMCA Executor in the execution of mission responsi-bilities to include reporting findings and providingrecommendations to the appropriate stakeholders.

b. Review and assist in resolution of MilitaryService issues and concerns that cannot be resolvedby the SMCA Executor.

c. Participate as a Military Service advocate asrequired to accomplish the SMCA mission.

d. Coordinate with the Military Services andsecretaries, as well as Office of the Secretary of De-fense (OSD) staff members, in matters relating to theSMCA mission.

e. Participate as a Military Service advocate injoint service and OSD activities related to SMCApolicy and business practices for both peacetime andwartime to include supporting the Joint LogisticsCommanders through the Joint Ordnance Command-ers Group (JOCG).

f. The EDCA will furnish an annual fiscal yearreport to the Military Services and ODS staff on exe-cution of the SMCA mission, with emphasis on mea-sureable accomplishments, problem areas and re-quired actions. The report is due by the last day ofJanuary of each year.

1.2.2.8 SMCA Field Operating Activity (FOA). TheSMCA FOA is responsible for providing logistics andsustainment support to the SMCA Executor andMilitary Services.

a. Munitions and Logistics Readiness Center(MLRC). The MLRC is responsible to the CG, JMCfor execution and management of the SMCA missionfor producing, storing, maintaining, and demilitariz-ing ammunition for all Military Services. The MLRChas the following responsiblities for the execution ofSMCA operations:

(1) Act as principal advisor to the CG for allmatters pertaining to ammunition supply, maintenance,transportation, customer support, SMCA management,and to ensure execution of the Command ammunitionmission.

(2) Coordinate actions for the execution ofthe SMCA program with all subordinate organizations.

(3) Act as ammunition management andtransporation manager for the JMC.

(4) Monitor the progress of critical and highpriority armament programs to assure an orderly andtimely transfer of procurement and production pro-grams to assure uninterrupted support to the field.

b. Security Assistance Directorate. The JMC Se-curity Assistance Directorate serves as the focal pointfor the Security Assistance Program for selectedcountries/international organizations. The directoratealso intensively manages, plans, schedules, directs,coordinates, monitors and controls all Foreign Mili-tary Sales (FMS) ammunition programs.

1.2.2.9 SMCA Navy Liaison Office (NVLNO). TheMLRC and Security Assistance Directorate are sup-ported by joint service liaison offices staffed by U.S.Air Force, U.S. Marine Corps, and U.S. Navy officerand enlisted personnel. The NVLNO, a detachment ofthe Naval Operational Logistics Support Center is theon-site representative for ammunition and weaponsmaterial. The NVLNO is the principal point of contactfor all Navy activities, Fleet and shore-based, foroversight and issue resolution with the JMC. It is alsothe principal support office in assisting the JMC incommunicating with and resolving issues concerningNavy activies dealing with the SMCA. The NVLNO isresponsible for the following:

a. Participating in Joint Ordnance CommanderGroup (JOCG) and SMCA policy formulation anddirectives, instruction, and JCAPP development. Pro-viding liaision for action by Navy representatives tothe various JOCG/SMCA action groups. AttendingJOCG/SMCA meetings as necessary to comment onand track changes in SMCA operating policies andprocedures. This includes the following:

(1) Acting as the focal point between theJMC and Naval Operational Logistics Support Center(NOLSC-AMMO) on the development and imple-mentation of Joint Service Support Agreements.

(2) Ensuring provision of Navy representa-tives for all Joint Committees and Groups operatingunder or in support of SMCA operations.

b. Monitoring the execution of Navy representa-tives by the JMC/SMCA, and facilitating the solutionto any problems thereto.

c. Acting as the JMC on-site Navy representa-tive on all matters in the development, facilitization,



1-2-4

modernization, procurement, production, distribution,maintenance, and demilitarization of non-nuclear ord-nance which impact the navy.

d. Representing the Navy in all JMC/SMCA al-location actions affecting Navy items and providingthe interface with navy customers of the SMCA toidentify Surge Planning and Industrial PreparednessPlanning (IPP). This includes the following:

(1) Coordinating, planning, and executingjoint service execises involving JMC/SMCA and Navyactivities.

(2) Maintaining liaison for problem resolutionwith U.S. Navy storage activities regarding pendingand actual shipments of Navy material to or fromArmy activies. Coordinating priority movement ofordnance items when requested by Navy InventoryManager or Program Managers. Monitoring and pro-viding recommendations on all requests for dispositionof Navy material.

(3) Assisting JMC personnel in the establish-ment and monitoring of Electronic Data Transferinformation between the JMC and Navy activities andorganizations.

(4) Maintaining liaison for problem resolutionwith U.S. Navy storage activities regarding pendingand actual shipments of Navy material to or fromArmy activies. Coordinating priority movement ofordnance items when requested by Navy Inventory orProgram Managers. Monitoring and providing recom-mendations on all request for disposition of Navymaterial.

1.2.3 Joint Ordnance Commanders Group(JOCG).

1.2.3.1 Purpose. The JOCG is chartered by the JointLogistics Commanders (JLC) to maintain awareness,influence and guide management and execution ofconventional ammunition programs including themunitions/weapons interface. The JOCG’s responsibili-ties cover the entire spectrum of conventional ammuni-tion life cycle management, including matters pertain-ing to the operations of the Single Manager forConventional Ammunition (SMCA). The JOCG identi-fies, recommends, and/or directs implementation ofjoint sponsorship or management to reduce cost,increase effectiveness, and ensure interoperability and/or interchangeability of conventional ammunition sys-tems, and to develop and continuously improve joint

processes and procedures. The definition of conven-tional ammunition is defined in DoDD 5160.65,Single Manager for Conventional Ammunition(SMCA).

1.2.3.2 Mission. The JOCG provides a forum whereall conventional ammunition lifecycle stakeholders,including the top process owners from its membercommands and associated or related organizations,jointly define and improve munitions systems. Theunderlying objective is to identify, implement orrecommend for implementation joint opportunities toreduce cost, increase effectiveness and ensure inter-operability and/or interchangeability of munitions sys-tems. The JOCG will:

a. Advocate for jointness in conventional am-munition (SMCA).

b. Develop and implement a transformationstrategy that encompasses plans and actions the aimof inducing, sustaining and exploiting revolutionarychange required to acquire and equip the collectiveDoD stakeholders with quality conventional ammuni-tion.

c. Function as a conventional ammunition stra-tegic planning forum for transformation of jointpolicy, procedures and projects.

d. Strive for information dominance by provid-ing an essential forum for conventional ammunitioninformation and decision processing.

e. Provide senior ordnance leaders a source foranalysis and planning in concert with service/joint/combined forces requirements.

f. Scrutinize the conventional ammunition envi-ronment throughout DoD for forces of change andtransformation opportunities.

g. Coordinate service and joint developments indoctrine and systems, subsystems and components,and increase its role in influencing and shapingpolicy.

h. Identify programs and projects for joint spon-sorship or management, and implement or recommendfor implementation those in which a common needexists, where differing requirements can be recon-ciled, or where economies and/or improvements canbe obtained.



1-2-5

i. Coordinate and reconcile service, OSD andCombatant Command policies.

j. Advocate effective use of the NationalTechnology Industrial Base.

k. Advocate the transition of conventional am-munition to the SMCA.

1.2.3.3 Responsibilities. To accomplish its objectivesthe JOCG does the following:

a. The JOCG will develop and implement atransformation strategy that encompasses plans andactions which have the goals of inducing, sustaining,and exploiting revolutionary change required to ac-quire and equip the collective DoD stakeholders withquality conventional ordnance. The JOCG will jointlyreview all development, acquisition and production,or support activities of military munitions systems,subsystems, and components identified in DoDD5160.65. The JOCG will function as a joint servicemunitions strategic planning cell identifying programsand projects for joint sponsorship or management andimplementation, those in which a common need ex-ists, where differing requirements can be reconciled,or where economies and/or improvements can beidentified. When all of the preceding criteria cannotbe satisfied, the JOCG will not recommend joint pro-gram operation, but will ensure that inter–servicecoordination and exchange of informatin is optimizedand duplication of effort is minimized.

b. The JOCG will develop uniform and standardconventional ammunition policies and procedures forthe missions, functions, and responsibilities assignedto the SMCA and Military Services in DoDD 5160.65and DoDI 5160.68. The JOCG is the approval author-ity for all Joint Conventional Ammunition Policy andProcedures (JCAPPs) and will coordinate and takeaction on matters pertaining to the operations of theSMCA. The JOCG will develop and provide to theJoint Logistics Commanders (JLC) standardized prac-tices of munitions management for the services adop-tion, as they deem appropriate.

(1) In January 2006, the Joint OrdnanceCommanders Group (JOCG), and the Joint Conven-tional Ammunition Policies and Procedures (JCAPPs),were approved by the Office of the Under Secretary ofDefense (Acquisition, Technology and Logistics) as analternative to the corresponding chapters of the DoD5160.65-M, Single Manager for Conventional Am-munition (Implementing Joint Conventional Ammuni-

tion Policies and Procedures). Approved JCAPPs areavailable on the JOCG website.

c. The JOCG will coordinate activities with oth-er JLC groups, as appropriate.

d. The JOCG, as directed by the JLC will as-sume responsibility for the operation of certain JLCpanels and coordinating groups. The JOCG will man-age these subgroups and take appropriate action todisestablish subgroup(s) or place continuing tasks ona staff-to-staff basis. The JOCG may also chartergroups and panels as necessary to execute its mission.

e. The JOCG may enter into Memoranda ofAgreement with Non-JLC chartered groups and pan-els, where appropriate, to support assigned munitionsrelated activities.

1.2.3.4 Membership. The principal JOCG membersare the Commanders or their designated representativeof the following:

a. Army.

(1) Commander, U.S. Army Joint MunitionsCommand.

(2) Program Executive Officer for Ammuni-tion (PEO-Ammo).

b. Marine Corps.

(1) Commanding General, Marine Corps Sys-tems Command.

c. Navy.

(1) Director, Supply, Ordnance and LogisticsDivision, Chief of Naval Operations (Logistics).

(2) Deputy Commander, Warfare Engineering,Naval Sea Systems Command.

d. Air Force.

(1) Commander, Air Armament Center, AirForce Material Command.

1.2.3.5 U.S. Army Project Manager (PM) for JointServices. Staff to the SMCA Executor, U.S. ArmyPEO-Ammo, PM Joint Services is the principal cus-tomer advocate between the SMCA FOA (JointMunitions Command (JMC)) and the Military Ser-



1-2-6

vices. His/her direct interfaces include JMC Deputyfor Support Operations (G-3) and Chief, Bombs andEnergetics. Other direct interface’s include the EDCA,PM Demil, Business Management and the MilitaryService Liaison positions located at the JMC. PM JointServices also performs duties as the JOCG ExecutiveCommittee Secretariat.

1.2.3.6 Organizational Structure. The organizationalstructure of the JOCG including subgroups and adhocgroups is shown in Figure 1-2-1.

1.2.4 Department of Defense Explosive SafetyBoard (DDESB).

1.2.4.1 Background. The U.S. Congress appointed ajoint Army-Navy Ammunition Storage Board by theFirst Deficiency Act of December 22, 1927. The Boardwas directed to survey the storage of Army and Navysupplies of non-nuclear ordnance and components.There was a special reference to those supplies locatednear populated communities and industrial areas thatcould constitute a menace to life and property. As thebasic standards of safety, the board adopted the lawsof the State of New Jersey that incorporate theAmerican Table of Distances. When these laws wereinsufficient, the board adopted safety standards devel-oped independently by the Army and the Navy. Thesurvey results were submitted to Congress in a reportdated March 3, 1928. Congress ordered the reportprinted on March 12, 1928, as House of Representa-tives Document (H. Doc.) No. 199, 70th Congress. TheSecond Deficiency Act of May 29, 1928, approved theboard’s report and appropriated funds for the correc-

tion of deficiencies that presented hazards at variouslocations. In addition, Congress established the JointArmy/Navy Ammunition Storage Board as a perma-nent organization to keep the Secretaries of the Armyand Navy advised of non-nuclear ordnance storage andto prevent hazardous conditions associated with thisstorage from endangering life and property inside aswell as outside of the storage reservations. Aftercreation of the Department of Defense, the board wasrenamed the Army/Navy Explosives Safety Board andit became the Armed Services Explosives SafetyBoard. With inclusion of the Defense Agencies withinthe board’s scope, it has been designated the Depart-ment of Defense Explosive Safety Board (DDESB), itspresent name.

1.2.4.2 Purpose. The purpose of the DDESB is toestablish and recommend safety standards. Thesestandards are designed to prevent or correct hazardousconditions associated with non-nuclear ordnance andexplosives manufacture, test, handling, rework, trans-portation, storage, and disposal. These safety standardsare the basis for Navy safety policy. Responsibilitiesof the DDESB have been developed under the policydirection and program guidance of the Under Secretaryof Defense for Acquisition and Technology (USD,AT&L) and in agreement with other DoD policies anddirectives. The DDESB responsibilities and DoDexplosives safety standards are contained in DoDD6055.9 of 29 July 1996. The Navy and Marine Corpshave amplified these standards into NAVSEA OP 4and OP 5. Navy and Marine Corps activities shalloperate under the criteria of the NAVSEA standards,this document, and OPNAV instructions addressingexplosives safety.



1-2-7

Joint LogisticsCommanders

(JLC)

CDR, U.S. Army Joint Munitions Command (JMC),

JOCG, Chairman

ExecutiveSecretariat

(PM Joint Services)

ExecutiveCommittee

Active JOCG Subgroups and Ad Hoc Groups

Acquisition & Transition

Aircraft/Stores Compatiblity

Demilitarization / Disposal

Education & Training

Environmental

Explosives & Propellants

Fuze

Hazards of Electromagnetic Radiation to Ordnance (HERO)

Ad Hoc Group

Industrial Base Management

Logistics Systems

Maintenance

Munitions Readiness

Packaging, Handling, Storage & Transportation

Transportation

Pyrotechnics

Quality Assurance

Safety

Supply

Technical Data / Configuration Management

Joint OrdnanceCommanders Group

(JOCG)

Figure 1-2-1. JOCG Organizational Structure



1-2-8

1.2.4.3 Authority. The jurisdiction of the DDESBextends to facilities where explosives are manufac-tured, tested, handled, reworked, transported, stored,or disposed of. These facilities may be Army, Navy,Marine Corps, and Air Force. They may be within theUnited States, its territories and possessions, or withinareas where the United States has long term rights oras specifically designated by the Secretaries of theMilitary Departments in areas occupied by the armedforces.

1.2.4.4 Membership. The chair of the DDESB is amilitary 06 position which rotates among the MilitaryServices. The chair reports to the USD AT&L and hasa management staff which is responsible for mainte-nance of the DoD explosive safety standards andconducting explosives safety inspections. The actualboard is comprised of the DDESB chair and arepresentative from each of the Military Services. TheNavy representative on the board is the incumbent ofOPNAV N411.

1.2.4.5 DDESB Surveys. The DDESB surveys, on anannual or biennial basis, military shore activities thatare involved in any way with handling, processing, orstoring of explosives. Normally, the CommandingOfficer of an activity is notified in writing by theDDESB from 2 to 4 weeks prior to the scheduled timeof inspection. The responsibilities of the activities withrespect to these surveys are described in OPNA-VINST 8020.14/MCO P8020.11 and are briefly de-scribed in the following:

a. When advised of a forthcoming DDESB sur-vey, the Commanding Officer of an activity shallmake arrangements for all necessary assistance toDDESB survey personnel. Arrangements will includeproviding station maps, population data, and non-nu-clear ordnance handling and storage data. Stationmaps will include a copy of the general developmentmap for the activity, appropriately marked with ex-plosive safety distance arcs.

b. The DDESB survey personnel shall be givencomplete cooperation in the performance of their du-ties.

c. The Commanding Officer shall be present, orbe represented, at the inspection debriefing.

d. Immediate action shall be taken to correctobvious and readily correctable violations of existingregulations and directives that have been detected byDDESB inspection personnel. Action shall be takento terminate operations identified as unacceptablehazards and immediately report issues and circum-stances to the appropriate chain of command and theCNO. Action on all other recommendations shall beheld in abeyance pending review and approval,through the chain of command, by CNO.

e. Upon receipt of the DDESB Survey Report,USN activities submit to CNO, via the appropriatechain of command (copy to NOSSA, if not in thechain of command), a brief report defining what localcorrective action was or will be taken to correct thedeficiencies. Negative reports are not required if nodeficiencies were cited. This report will be forwardedwithin 10 working days after receipt of the DDESBreport.

1.2.4.6 Communication with the DDESB.

a. All written communications intended for theDDESB shall be routed via the chain of commandand NOSSA to CNO. Direct correspondence with theDDESB is not authorized unless previously directedby CNO. Written communication initiated by theDDESB, except explosives safety survey notifica-tions, citing CNO as “copy to” addresses, and ad-dressed to any DON command, shall be immediatelyre-addressed to CNO.

b. Direct communication by telephone, facsimileor email with DDESB staff members is not autho-rized unless initiated by a DDESB staff member or itis effected with the approval of, and preferably by,the USN member or alternate member of the DDESB.No DON presentation, however rough or informal, isto be made to the chairperson, staff members or theDDESB without prior approval of a DON member/al-ternate member. All such presentations will be at-tended by one of these officials unless attendance isspecifically declined.



1-3-i

CHAPTER 1.3

Management Information System Links

Table of Contents


1.3.1 Naval Operational Logistics Support Center (NOLSC-AMMO) Ordnance Information System-Wholesale (OIS-W) Architecture 1-3-1

1.3.2 Naval Operational Logistics Support Center (NOLSC-AMMO) Ordnance InformationSystem-Wholesale (OIS-W) Links 1-3-2


Figure Title Page

1-3-1 Naval Operational Logistics Support Center (NOLSC-AMMO) Ordnance InformationSystem-Wholesale (OIS-W) Links 1-3-3



1-3-1

CHAPTER 1.3

Management Information System Links

1.3.1 Ordnance Information System (OIS).

1.3.1.1 General. As discussed in NAVSUP PubP-724, the OIS is an integration of ordnance logisticssystems used by Navy and Marine Corps for ordnanceasset management and accountability. The OIS iscomprised of integrated applications and distibuteddatabases providing controlled global access, whereina single action results in system-wide update. OIS ismanaged by Naval Operational Logistics SupportCenter (NOLSC-AMMO).

1.3.1.2 Ordnance Information System-Wholesale(OIS-W). Classified OIS-W is the single repository forworldwide status of Navy expendable non–nuclearordnance requirements, assets, production, expendi-tures, costs, and technical inventory management data,regardless of inventory management or ownershipresponsiblities. OIS-W supports the ammunition man-agement informatin needs of the stockpile managers,Acquisition/Program Managers, Chief of Naval Opera-tions (OPNAV), Systems Commands (SYSCOMS),Marine Corps (Aviation), Fleet Commanders(FLTCOMs), Type Commanders (TYCOMs), and othermajor claimants

1.3.1.3 OIS-W provides the capabilities to:

a. Maintain a central record of stock status infor-mation (including serviceable and non-servicable as-sets) updated daily by transaction reports from allholders of Navy owned assets.

b. Maintain a central record of worldwide assetpositions and expenditures updated at appropriate in-tervals in accordance with current requirements.

c. Maintain a central record of material in-transitbetween contractors and Naval activities, and in-transitamong Naval activities, updated daily.

d. Maintain a central record of material in pro-duction, procurement, or under renovation, updateddaily.

e. Maintain a central technical data file for in-ventory management functions as a source for NavyStock Lists; change notice cards; packaging, safety and

transportation management publications; and for use instratification, budgeting, readiness determinations, andcomponent requirement computations, and as a basisfor selection or recommending substitutions or alter-nate items for requisitioning, stratification, or budget-ing process.

f. Maintain a central record of ammunition stor-age capabilities for use in measuring storage capabili-ties against requirements.

g. Maintain a central record of actual and poten-tial production capabilities of Navy and selected com-mercial producers.

h. Provide for adequate protection of dataagainst such contingencies as fire, inadvertent file de-struction, loss of power, etc.

1.3.1.4 Information available in OIS-W:

a. New stock number, Navy Ammunition Logis-tics Code (NALC) and Department of Defense Indenti-fication Code (DODIC) assignments, Change NoticeBulletins, and technical characteristics.

b. Quantity on hand, location (including in-tran-sit) due-in, condition, receipts, issues, serial numberand configuration data for serialized weapons/compo-nents, reservations, or restrictions, etc.

c. Tracking of due-ins based on scheduled deliv-ery dates, generates Prepositioned Material ReceiptCards, processes shipment/performance notification,and computes administrative and production lead-time.

d. Tracking of requisitions, modifications, refer-rals, follow-ups, shipping status, issues, receipts, can-cellations, Material Release Orders (MROs), and re-sults of the cross-decking of assets.

e. Financial inventory accounting and billingfunctions.

f. Receipt transactions from commercial procure-ment, receipt from storage locations, issue of materialfrom stock, increase/decrease adjustments, dual adjust-ments transactions, re–identification of stock, asset sta-tus cards, for further transfer, material.



1-3-2

g. History of items, segments or lots of explo-sive, ordnance/material declared as a safety hazard,unsuitable for use or suspended for any reason.

h. Identification and document transfer of unser-viceable or excess/surplus material from inventory todisposal account.

i. Identification and tracking ammunition loadsto support ship and organizational mission.

j. Distribution of major CONUS assets based onrequirements and the assets held by the Major Com-mands.

k. Monthly reporting of OIS-W assets by LotNumber.

l. Tracks and budgets Outside ContinentalUnited States (OCONUS) transportation requirements/shipments.

m. Comparison of ammunition to inventory assetsrequirements to determine excess inventory.

n. Provides for the processing, monitoring, rec-onciliation and generation of physical inventory trans-actions for current stock records.

o. Tracks requirements and allows users to groupsimilar Navy Ammunition Logistics Codes (NALCs)for asset and expenditure retrievals/reports throughcontrol number processing.

p. Tracks training requirements, allocations andexpenditures.

1.3.2 OIS-W Links. OIS-W, as the central, single-point reference for Navy ordnance, is the majorautomated system linking all of the other automatedsystems being used by the Navy for ordnance manage-ment functions. The other automated systems and theirtype of link to OIS-W is identified in Figure 1-3-1.

a. When available, Retail Ordnance LogisticsManagement System (ROLMS) is the method to link

with OIS-W for all ship and shore activity asset man-agement and reporting requirements. Reporting activi-ties can also link with OIS-W by transmission of datavia Naval Message from local communications centersthrough the Defense Automatic Addressing System(DAAS) https://www.daas.dla.mil/daashome/. DAASacts as a redirector for non-ROLMS activity messageAmmunition Transaction Reports (ATRs), sendingthem to their appropriate destination(s). DAAS re-ceives other message ordnance data (i.e. requisitions),processes them, and then forwards them to the ap-propriate destination(s) as well. ROLMS equipped acti-vies can process either Transaction Item Reports(TIRs) or ATRs. The status of MILSTRIP requisitionsthat have been processed through DAAS can addition-ally be tracked using a web-based tool developed bythe Defense Automated Addressing System Center(DAASC). Contact DAAS to determine the best ac-count for your activity.

b. Most activities have transitioned to the De-fense Messaging System (DMS). NAVSUP Pub 724includes guidance regarding interface with DMS.

1.3.2.1 OIS-W System Interfaces. OIS-W interfaceswith other information systems to receive and ex-change inventory and technical data and relatedinformation. These systems are:

a. Distribution Standard System (DSS).

b. Federal Logistics Information System (FLIS).

c. U.S. Army Commodity Command StandardSystem (CCSS).

d. U.S. Army Standard Depot System (SDS).

e. Retail Ordnance Logistics Management Sys-tem (ROLMS).

f. Marine Corps Ammunition Accounting/Re-porting System (MAARS II).

g. Explosive Safety Technical Manual System(ESTMS).

h. MAGTF Data Library (MDL).



1-3-3

NOTES:

OIS - Ordnance Information SystemACMDS - Automated Configuration Management Data SystemFLIS - Federal Logistics Information SystemSLAMS - Surveillance, Lot Acceptance & MAERU (Test Database) SystemESTMS - Explosives Safety Technical Manual SystemCCSS - Commodity Command Standard SystemSDS - Standard Depot SystemDAAS - Defense Automatic Addressing SystemDMS - Defense Messaging SystemDSS - Distribution Standard SystemDTTS - Defense Transportation Tracking SystemROLMS - Retail Ordnance Logistics Management SystemMAARS II - (USMC) Marine Corps Ammunition Accounting/Reporting SystemMDL - (USMC) Marine Air Ground Task Force (MAGTF) Data LibraryTAMMS - Total Ammunition Movement Management SystemTCAIMS II - Transportation Coordinator’s Automated Information for Movement System IICAS - (U.S. Air Force) Combat Ammunition System

FLIS DSS ESTMSMAARS II MDL

CCSS

SDS

DTTS

DAAS

ROLMS

TAMMS

OIS-W

(USMC)

CAS(USAF) TCAIMS II

SIPRNETTerminal

SLAMS

MSG

DMS

Transactions

(USMC)

ACMDS

(U.S. Army)

(U.S. Army)

Figure 1-3-1. Naval Ordnance Logistics Support Center (NOLSC-AMMO) Ordnance InformationSystem-Wholesale (OIS-W) Links



2-i

SECTION 2

Program Management

Table of Contents


2.1 General 2-1-1

2.2 The Planning, Programming, and Budgeting System (PPBS) 2-2-1

2.3 Requirements Determination 2-3-1

2.4 Industrial Preparedness Planning (IPP) 2-4-1

2.5 Non-Combat Expenditure Program 2-5-1



2-1-i

CHAPTER 2.1

General

Table of Contents


2.1.1 Perspective 2-1-1

2.1.2 Public Laws 2-1-1

2.1.3 Organizational Relationships 2-1-1

2.1.4 Types and Purposes of Appropriations 2-1-2

2.1.5 Direct and Reimbursable Budget Plans 2-1-4


Figure Title Page

2-1-1 Program Management Organizational Relationships 2-1-3



2-1-1

CHAPTER 2.1

General

2.1.1 Perspective. There are many facets to manag-ing the ammunition program for the Navy. Each of thefollowing Chapters in this manual covers a differentfacet of ammunition management (acquisition, mainte-nance, logistics, disposal, etc.). This Chapter onprogram management is the aggregation of the finan-cial management portion of each of the differentfacets. The primary focus of program management isto define a balanced program of acquisition, mainte-nance, and expenditure for each assigned ammunitionitem. The personnel responsible for program manage-ment are responsible for supporting the definedprogram through the levels of budget reviews resultingin annual Congressional authorization and appropri-ation acts.

2.1.1.1 Regulation. The Financial Management Regu-lation DoD 7000.14-R is the governing regulation forall financial management policies and procedures. TheDoD regulation should be referred to for clarificationand ensuring you have the latest guidance andrequirements. The following are general policies andexcerpts from this regulation for information purposes.

2.1.1.2 Program Issues. Many issues are faced bythose responsible for program management, some ofwhich are outside their scope of control. The definedprogram must be continually adjusted from year toyear to compensate for these external issues. Thebiggest issues faced on a recurring basis include thefollowing:

a. Undistributed Budget Cuts. A program’s shareof an undistributed budget cut passed down from theNavy’s Financial Manager must be absorbed andchanges made to the program in the out years to makeup for the cut.

b. Congressional Budget Changes. A program isoften changed by Congressional action for reasons oth-er than those used to determine program requirements.Programs must be adjusted to account for these plusesor minuses, or shifts from one part of the program toanother.

c. Production Problems. Funds budgeted forprocurement of an item, which is in production and

experiencing problems affecting the delivery schedule,are usually cut or deferred to later years during thebudget review process. The managers get the opportu-nity to reclaim these cuts or deferments. If they arenot successful in getting the funds restored, they mustadjust their defined program accordingly.

2.1.1.3 Issue Impact. These issues listed above, andmany more which happen on occasion, greatly impactthe Program Manager’s (PM) ability to prudentlymanage the assigned program. The impact of thesechanges is often the inability to achieve or maintain adefined inventory objective to support Fleet require-ments.

2.1.2 Public Laws. New laws and requirements havebeen passed by the U.S. Congress affecting accountingand financial management practices. The followingActs have a direct bearing on the processes used inordnance program management:

2.1.2.1 Federal Managers Financial Integrity Act of1982 (FMFIA). The FMFIA requires that each Execu-tive Agency conduct annual evaluations to determinethe adequacy of its systems of internal accounting andadministrative controls.

2.1.2.2 Chief Financial Officers Act of 1990 (CFOAct). The CFO Act focuses attention on the need fora strong financial management function. The Depart-ment of the Navy (DoN) is required to preparefinancial statements for its trust and revolving fundsaccording to generally accepted accounting principlesestablished by the Federal Accounting Standards Advi-sory Board.

2.1.2.3 Government Performance and Results Act of1993 (GPRA). The GPRA requires the systematicidentification of output and outcome measurement inbudget formulation and management. It also requiresFederal agencies to set performance goals and to relatethose goals to budget requests and to actual results.

2.1.3 Organizational Relationships. The organiza-tions involved in program management are somewhatstatic from year to year. However, many of thepersonnel involved in the funding chain processes inthe Comptroller and Congressional offices have



2-1-2

changed from year to year. This continual turnover ofpersonnel provides a significant challenge to the PM.The PM must ensure that the surface ammunitionprograms are adequately defined to preclude changesduring the review process, based on a lack ofunderstanding. Figure 2-1-1 identifies the organiza-tions involved in the program management processesand their relationship to each other. The followingsections will describe the program management pro-cesses and identify the organizational responsibilitiesfor those processes.

2.1.4 Types and Purposes of Appropriations. TheNavy receives appropriations included in the DoDAppropriations Act. These appropriations are eitherannual, multiple year, or no-year. The language ofeach appropriation has evolved over the years toexpress precisely the purposes for which the funds arelegally available, in accordance with the intent ofCongress regarding the use of appropriated funds.Despite the wide variety of naval programs, the textfor each appropriation is relatively brief. Such brevityis possible due to the statutory references to basicauthorizing legislation and because of the cumulativehistory of legal interpretation of the words andphrases. The ordnance programs are programmed,budgeted, and executed within the structure of thefollowing appropriations as defined by Congress.

2.1.4.1 Research, Development, Test, and Evaluation,Navy (RDT&E,N). The term “Research and Develop-ment (R&D)” is intended broadly to include the workperformed by a government agency or by privateindividuals or organizations under a contractual orgrant arrangement with the government.

a. Research is systematic study directed towardfuller scientific knowledge or understanding of thesubject studied.

b. Development is the systematic use of theknowledge and understanding gained from research,for the production of useful materials, devices, sys-tems, or methods, including the design and develop-ment of prototypes and processes. RDT&E,N appropri-ation is defined as follows:

NOTE

“RDT&E will finance research, devel-opment, test and evaluation effortsperformed by contractors and govern-ment installations, including procure-

ment of end items, weapons, equip-ment, components, materials andservices required for development ofequipment or material.”

c. Time Limitations.

Years For

Obligation

New Adjust & Closed End

Obligation Disburse. of Year

Approp Unexpired Expired Cancelled

RDT&E 2 3 to 7 7

d. Funding Coverage. Funding under theRDT&E,N appropriation is required for developingnew ordnance items or components which are not cur-rently in the programmed procurement plan.

2.1.4.2 Procurement, Ammunition Navy, MarineCorps (PAN-MC). The DoD Appropriation Act pro-vides language for the PAN-MC appropriation com-mencing in FY 95. Per DoD Financial ManagementRegulation, the criteria for cost definitions considerthe intrinsic or inmate qualities of the item such asdurability in the case of an investment cost. Invest-ments are the costs that result in the acquisition of, oraddition to end items. These costs benefit futureperiods and generally are of a long-term character.Investments are costs to acquire capital assets. Allitems of equipment, including assemblies, ammunitionand explosives are classified as investments. ThePAN-MC appropriation is used for ammunition pro-curement.

a. Time Limitations:

Years For

Obligation




PAN-MC 3 4 to 8 8

b. Funding Coverage. Funding under the PAN-MC appropriation covers the following ammunitionmanagement areas.

(1) Ammunition Procurement.

(2) Related Support Equipment Procurement.



2-1-3

RequirementsDetermination

ProgramReview &Approval

ProgramReview &Consolidation

ProgramDefinition &Submission

Requirements Notification

HAC HASC SASC SAC

OMB

OSD

CNO(OPNAV)

NAVSEA

PEO/PM

CFFC

SMCA

NOTES:

HAC - (Congressional) House Appropriations CommitteeHASC - (Congressional) House Armed Services CommitteeSASC - (Congressional) Senate Armed Services CommitteeSAC - (Congressional) Senate Appropriations CommitteeOMB - (Executive) Office of Management and BudgetOSD - Office of the Secretary of DefenseCNO - Chief of Naval OperationsCFFC - Commander, Fleet Forces CommandNAVSEA - Naval Sea Systems CommandPEO/PM - Program Executive Officer/Program ManagerSMCA - Single Manager for Conventional Ammunition

TechnicalActivities

Figure 2-1-1. Program Management Organizational Relationships



2-1-4

(3) Acquisition Engineering.

(4) Product Improvement Programs.

2.1.4.3 Operation and Maintenance, Navy (O&MN)appropriation. The criteria for cost definitions considerthe intrinsic or innate qualities of the item such asconsumability in the case of an operating cost.Expenses Expenses are the costs incurred to operateand maintain the organization, such as personalservices, supplies, and utilities. Expenses are costs ofresources consumed in operating and maintaining theDepartment of Defense. The following guidelines shallused to determine expense costs:

(1) Food, clothing and fuel.

(2) Maintenance, repair, overhaul, rework ofequipment.

a. Time Limitations:

Years ForObligation




O&MN 1 2 to 6 6

b. Funding Coverage. Funding under the O&MNappropriation Budget Activity 7 covers the followingammunition management areas.

(1) Ordnance In-Service Management.

(2) Ordnance Inventory Management.

(3) Ordnance Logistics Management Support.

(4) Surface Wide Transportation (SWT).

(5) Ordnance Demilitarization/Disposal Man-agement.

(6) Training.

2.1.5 Direct and Reimbursable Budget Plans.

2.1.5.1 Direct Budget Plan. Per DoD Financial Man-agement Regulation this plan includes those items ofmaterial to be purchased for delivery to serviceinventory and those procurement programs that supportthe acquisition of material for U.S. Forces. Financing

for the direct budget plan is derived from: new budgetauthority provided by the Congress, the transfer ofresources from other appropriations, and reimburse-ments. When dealing with reimbursements involvingthe sale of material, three situations can arise.

a. Replacement-in-Kind. In this situation an itemof material is sold and will require replacement withan item of the identical type, model, and series ormodified version of the same basic model. In thissituation the reimbursement from the sale will be in-cluded in reimburseable financing and the buy-back ofthe item in the reimbursable program. There will beno reflection of this transaction in the Direct BudgetPlan. For an ammunition item, the replacement-in-kindpolicy permits replacement of a round with any roundthat provides the same warfighting mission capability,providing the round to be purchased has been pre-viously approved by the Congress for procurement,and the inventory objective presented to the Congressis not exceeded.

b. Replacement. In this situation an item of ma-terial is sold and will require replacement with an itemof the identical type, model, and series or modifiedversion of the same basic model. In this situation thereimbursement from the sale will be included in reim-bursable financing and the buy-back of the item in thereimbursable program. There will be no reflection ofthis transaction in the Direct Budget Plan. For an am-munition item, the replacement-in-kind policy permitsreplacement of a round with any round that providesthe same warfighting mission capability, providing theround to be purchased has been previously approvedby the Congress for procurement, and the inventoryobjective presented to the Congress is not exceeded.

(1) Items sold from inventory with a unit costless than $5000 will be treated as a replacement-in-kind if an improved model of the same end item isbeing procured, it provides the same warfightingcapability, and the inventory objective being presentedto Congress is not exceeded.

(2) If an item is eligible for replacement orreplacement-in-kind and is not replaced, the reimburse-ment should be treated as a “free asset.”

c. Free Assets. In this situation an item of mate-rial is sold and will not require replacement. All freeassets from Foreign Military Sales (FMS) transactionsare required to be deposited into the MiscellaneousReceipts of the U.S. Treasury in accordance with 10U.S.C. 114(c)(2).



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2.1.5.2 Reimburseable Budget Plan. Per the DoDfinancial Management Regulation, this plan includesthose items of material to be purchased for delivery toand use by customers. Financing for the reimbursablebudget plan is derived from:

a. Anticipated reimbursement based upon cus-tomer orders recived for items (not stocked by or pur-chased for procuring service use) to be purchased fordirect delivery to a customer. (Direct citation of cus-tomer funds for procurement against this type of orderis encouraged where common components and/or com-mon assemble with serevice production of sismilaritems are not involved).

b. Antipated reimbursement based upon customerorders received or to be received for items common tothe procuring service and customer, for direct deliveryto the customer.

c. Where the material item is to be made avail-able from on-order quantities under an existing con-tract, the sales transactions will be reflected as reim-bursable transactions. The quantities and costs of thereplacement procurement will be included in the reim-bursable program.

d. Where the material item is to be made avail-able directly from a contract awarded after the date ofthe sales agreement and the contract included a partic-ular quantity of the item to fulfill the sales agreement,the transaction will be reflected as a direct cite trans-action.

e. In replacement-in-kind situations, the proceedsfrom the sale will be included under reimbursable fi-nancing and the buy-back program will be included inthe Reimbursable Budget Plan.

f. In “replacement” situations, the proceeds fromthe sale will be included under reimbursable financingbut the buy-back program will be included under theDirect Budget Plan (not the Reimbursable BudgetPlan).

2.1.5.3 Funding Coverage. Funding under the Reim-bursable program covers the following ammunitionmanagement areas

a. Security Assistance Program.

b. Other service use of Navy ordnance duringjoint exercises.



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CHAPTER 2.2

The Planning, Programming, Budgeting and Execution System (PPBES)

Table of Contents


2.2.1 General 2-2-1

2.2.2 Planning Phase 2-2-2

2.2.3 Programming Phase 2-2-2

2.2.4 Budgeting Phase 2-2-6

2.2.5 Future Years Defense Plan 2-2-8

2.2.6 Budget Execution 2-2-8

2.2.7 Standard Accounting and Reporting System (STARS) 2-2-11


Figure Title Page

2-2-1 The PPBES Process 2-2-3

2-2-2 PPBES Calendar 2-2-13



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CHAPTER 2.2

The Planning, Programming, Budgeting and Execution System (PPBES)

2.2.1 General.

2.2.1.1 Purpose. Per DoD 7000.14R the PPBES is acyclic process containing 3 distinct but interrelatedphases: planning, programming, and budgeting. Inaddition to establishing the framework and process fordecision making on future programs, the processpermits prior decisions to be examined and analyzedfrom the viewpoint of the current environment (threat,political, economic, technological, and resources) andfor the time period being addressed. The decisions arebased on and consistent with a set of objectives,policies, priorities, and strategies derived from Nation-al Security Decision Directives. The ultimate objectiveof the PPBES is to provide the operational command-ers the best mix of forces, equipment, and supportattainable within fiscal constraints. Throughout thePPBES, the Secretary of Defense (SECDEF) providescentralized policy direction while placing programexecution authority and responsibilities with the DoDComponents. The DoD Components provide adviceand information as requested by the Secretary ofDefense and his staff so that execution and account-ability may be assessed properly. The purpose of thePPBES is to produce a plan, a program, and finally, abudget for the Department of Defense. The budget isforwarded in summary to the President for hisapproval. The President’s budget is then submitted toCongress for authorization and appropriation.

2.2.1.2 Instructions. DoDI 7045.7 describes the DoDPlanning, Programming, Budgeting System (PPBS) indetail.

2.2.1.3 Cyclical Process. The DoD internal 2-yearPlanning, Programming, Budgeting, and Execution(PPBE) process will guide the Department’s strategydevelopment, identification of needs for military capa-bilities, program planning, resource estimation andallocation, acquisition, and other decision processes.The Quadrennial Defense Review (QDR) will continueto serve as the department’s major statement ofdefense strategy and business policy. It also willcontinue to be the single link throughout DoD thatintegrates and influences all internal decision pro-cesses.

a. The first year of the 2-year cycle will includethe Strategic Planning Guidance (SPG), a Joint Pro-gramming Guidance (JPG), a Program Objective Mem-orandum (POM), and a Budget Estimate Submission(BES). Program Decision Memoranda (PDM) will im-plement POM decisions; Program Budget Decisions(PBDs) will implement BES decisions.

b. The second year of the internal Defense De-partment 2-year cycle, or the off-year, will include anSPG, if the Secretary of Defense decides an SPG isnecessary. If an off-year SPG is issued, it will notintroduce major changes to the defense program, ex-cept as specifically directed by the Secretary or Depu-ty Secretary of Defense. Rather than a POM duringthe off-year, the Components will submit ProgramChange Proposals (PCPs) to accommodate real worldchanges, and as part of the continuing need to alignthe defense program with the defense strategy. TheComponents will submit Budget Change Proposals(BCPs) instead of a BES during the off-year. BCPswill accommodate fact-of-life changes resulting fromconfessional actions. The off-year also includes execu-tion reviews that will provide the opportunity to makeassessments concerning current and previous resourceallocations and whether the Department achieved itsplanned performance goals. Performance metrics willbe the analytical underpinning to ascertain whether anappropriate allocation of resources exits in currentbudgets.

2.2.1.4 Publication. Timely publication of the PPBSdocuments is critical since they represent a coordi-nated effort among many participants within theServices. To achieve timeliness, the Defense ResourcesBoard (DRB) annually develops and issues a scheduleof significant events for the upcoming calendar year.The DRB schedule specifies the time for the follow-ing:

a. Submission by the Joint Chiefs of Staff (JCS)of a recommended national military policy and relatedmilitary advice.

b. Submission and review of the POM.

c. Issuance of the Defense Planning Guidance(DPG).



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d. Submission by the JCS of the Joint ProgramAssessment Memorandum (JPAM).

e. Development and processing of Issue Books(IBs).

f. Issuance of the SECDEF PDMs.

g. Budget estimates.

h. PBDs.

i. Management Initiative Decision (MID).

2.2.1.5 PPBS Process. Figure 2-2-1 illustrates thesequence of the three PPBS phases.

2.2.2 Planning Phase. The planning phase of thePPBS is primarily an Office of the Secretary ofDefense (OSD) level evolution with inputs from theJCS, the Joint Commands, and the Military Depart-ments. The Defense planning process starts with theJoint Strategic Planning Document (JSPD) which isdeveloped from the Joint Long Range Strategic Ap-praisal (JLRSA). The OSD staff takes the JSPD andinputs from the Commander’s, PACFLT/LANTFLT andMilitary Departments and develops the Defense Guid-ance (DG). The JCS strategic planning process isunconstrained by resources, and develops minimumrisk force levels. OSD attempts to define a fiscallyattainable planning force in the DG.

2.2.2.1 Joint Long Range Strategic Appraisal(JLRSA). The JLRSA is prepared by the JCS toprovide transition from long-range to mid-range strate-gic planning and to stimulate focus on strategicstudies. Additionally the JLRSA influences the devel-opment of the JSPD.

2.2.2.2 Joint Strategic Planning Document (JSPD).The JSPD is submitted by the JCS to SECDEF. It isthe product of inter-Service coordination and containsthe military strategic concepts and recommendations ofthe Military Services for attaining the national securityobjectives. It includes a summary of the JCS planningforce levels required to execute the approved nationalmilitary strategy with a reasonable assurance ofsuccess. It also contains views on the attainability ofthese forces in consideration of fiscal responsibility,manpower resources, material availability, technology,industrial capacity, and interoperability in joint andcross-Service programs. The JSPD shall also providean appraisal of the capabilities and risks associatedwith the programmed force levels. Recommendedchanges to current force planning and program guid-ance are included. The JSPD is the basic statement

that provides a vehicle for an exchange of views ondefense policy among the President, SECDEF, JCS,and the National Security Council.

2.2.2.3 Defense Planning Guidance (DPG). Afterconsideration of the views and recommendationsexpressed in the JLRSA and JSPD, a draft DPG isissued to solicit comments of all DoD Components,including the Commander’s, PACFLT/LANTFLT, onthe major issues, problems, and resource constraints indeveloping and programing forces to execute thepolicy, strategy, and management direction. The ap-proved version of the DPG is subsequently promul-gated and constitutes the authoritative statement direct-ing defense fiscal and planning guidance fordevelopment of the Program Objectives Memorandum(POM). The DPG will consist of the followingelements:

a. Near and long-term threat assessment and op-portunities.

b. Policy and strategy guidance.

c. Force planning guidance.

d. Resource planning guidance.

e. Fiscal guidance.

f. Unresolved issues requiring further study.

2.2.3 Programming Phase. During the PPBS pro-gramming phase, DoN assesses the status of itsprograms as they evolved from the previous cycle ofPPBS, identifies unresolved issues, and translates theDPG into achievable packages recognizing fiscal andresource constraints. The product of the DoN program-ming process is the DoN POM. The POM is acomprehensive and detailed expression of the totalrequirements affordable within fiscal constraints asso-ciated with the mission and commitments of the DON.The POM is presented as changes to the President’sBudget to update the OSD FYDP database.

2.2.3.1 Integrated Warfare Architectures (IWARS):

a. Background: The IWARS process starts theNavy programming cycle and serves as a road map toidentify alternative paths to achieve warfare and sup-port area objectives based on cost versus capabilityanalysis of options. IWARS focuses on capabilitiesvice systems and provides linkage between the Navy’sstrategic vision, threat assessment, and guidance forthe acquisition community.



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R&C

R&C

JOINT LOMGRANGE

STRATEGICAPPRAISAL

JOINTPROGRAM

ASSESSMENTMEMORANDUM

PLANNING PROGRAMMING BUDGETING

NOV JAN MAY JUL AUG SEP OCT-DEC JAN

=Reveiw and Comment =Reveiw and Approval

OFFICE OF THESECRETARY

OFDEFENSE

DEFENSERESOURCES

BOARD

JOINTCHIEFS OF

STAFF

MILITARYDEPARTMENTS

& AGENCIES

COMMANDERSU. S. PAC/LANT FLT

DRAFTDEFENSE

GUIDANCE

DEFENSEGUIDANCE

ISSUEBOOKS

PROGRAMDECISION

MEMOS

BUDGETDECISIONS

PRESIDENT’SBUDGET

JOINTSTRATEGICPLANNING

DOCUMENT

PROGRAMOBJECTIVE

MEMOS

BUDGETESTIMATES

R&A R&A

R&C R&A

R&C R&C R&C R&C

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R&C

Notes:

Figure 2-2-1. The PPBES Process



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b. Description:

(1) The IWARS is a capabilities-based state-ment of Navy status and needs by functional area baseon architectural plans. The architecture is designed tointegrate warfare capabilities and resources acrossspecific platforms and support areas. Analysis isintended to provide warfare focus across capabilityelements (end-to-end), link to other warfighting andsupport IWARS, and provide synchronization acrossthe IWARS functional areas.

(2) The IWARS process replaced the Invest-ment Balance Review and Joint Mission Area studiesof the past. IWARS teams are chaired by OPNAV andcomposed of representatives from the Secretary of theNavy’s Office, Commander’s, PACFLT/LANTFLT,CNO, resource sponsors, acquisition community, NavalWarfare Development Command (NWDC), Joint War-fare Capability Assessment (JWCA) teams, and theMarine Corps. The IWARS teams use data fromCongressional Guidance, current POM, Studies andAnalysis War Games, DoN Chief Information Officer(CIO), Threat Assessments, Defense Planning Guid-ance, Chairman of the Joint Chiefs of Staff ProgramRecommendation (CPR)/Program Assessment (CPA),and other IWARS Teams. The intent is to look atcapabilities 10 to 15 years in the future from aProgram Manager (PM) and industry perspective.

(3) The goal of the IWARS process is toprovide an analytic basis for programmatic decisions.Each IWARS team will identify shortfalls and redun-dancies, integrate and synchronize issues, and identifycost alternatives and options at system, engagement,and campaign levels. The end product of each IWARSteam is a CNO Program Analysis Memorandum(CPAM), which balances programs across capabilityareas. The CPAM describes the impact on warfarecapability, assesses current programs, and recommendstrade-offs to link the Navy’s strategic vision, threatassessment, and programs to maintain a balancebetween warfare capability and current FYDP pro-grams within the overall Navy funding limitations.This leads to a summary CPAM, the formal recom-mendation for programming and fiscal guidance forresource Sponsor Program Proposals (SPPs).

c. The 12 IWARS functional areas are:

(1) Maritime Dominance includes underseawarfare superiority, anti-submarine warfare, mine war-fare and surface warfare superiority.

(2) Deterrence includes strategic deterrence,counter weapons of mass destruction forward presenceand engagement.

(3) Power Projection includes strike warfare,littoral/expeditionary warfare, and naval fire supportand USMC ship-to-objective maneuver.

(4) Air Dominance includes air superiority,theater ballistic missile defense and cruise missiledefense.

(5) Information Superiority/Sensors includescommand, control, communications, computers, intelli-gence, surveillance, and reconnaissance. Also includesinformation processing exploitation and disseminationand information warfare/information management.

(6) Sustainment includes Combat LogisticsForce (CLF), Military Sealift Command (MSC), andService Wide Transportation (SWT).

(7) Infrastructure includes base operationssupport, force protection, MILCON, environment, baserealignment and closure and administrative support.

(8) Manpower and Personnel includes mili-tary pay, Navy, quality of life, recruiting, manpowersupport and health affairs.

(9) Readiness includes operations tempo,maintenance, spares, operational & training support.

(10) Training and Education includes individ-ual training, ranges and targets, and Naval PostGraduate school.

(11) Technology includes research, develop-ment, test, and evaluation.

(12) Force Structure includes ship procure-ment Navy, aircraft procurement Navy and associatedRDT&E.

2.2.3.2 OPNAVINST 3050.23 explains alignment andresponsibility of Navy requirements generation andresource planning, modifying the Department of theNavy’s Programming, Planning and Budgeting System(PPBS) to focus on capability-driven warfighting re-quirements to include:

a. Increased emphasis on capabilities requiredfor delivery on a Battle Force vice platform level.

b. Enhanced ability to better communicate along-term warfighting vision with attendant procure-



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ment, force structure, and capability to counter threatsand achieve mission success via application of analysisboth within and beyond programming Fiscal Year De-fense Plans (FYDPs).

c. Establishing the Battle Force Capability As-sessment and Programming Process (BCAPP) (former-ly referred to as the “Mission Capability PackagesProcess”) as the tool to accomplish the modificationand purpose as described.

d. Establishing the need for the development ofan affordable long range naval warfare Integrated Stra-tegic Capability Plan (ISCP) (formerly referred to asthe “ISBP”) and an INtegrated Sponsor’s Program Pro-posal (ISPP) for warfare systems that meet Command-er’s PACFLT/LANTFLT requirements.

e. Establishing Capability Sponsors (CS) withinthe Office of the CNO responsible for developing Mis-sion Capability Packages (MCPs) within designateddomains and coordinating these packages with the Re-source Sponsors, Commander’s PACFLT/LANTFLT,and acquisition community.

f. Implementation. Programs will be defined interms of application to mission capabilities andgrouped into associated MCPs. MCPs will:

(1) Serve as the primary mechanism used toidentify the current baseline of capabilities and toaccurately forecast capability evolution based on de-fined assumption.

(2) Constitute the elements to assist in plan-ning and programming integrated systems capabilitiesas identified in Joint and Navy strategies.

(3) Fuse validated and approved architecturesand interoperability requirements per CJCSI 3170.01and DoD 5000.2-R and reflect milestones and programdecisions.

g. Integration across MCPs will be assessedthrough the development of an ISCP that will becomeNavy’s “warefare investment strategy” for program-ming operational capabilities.

h. The product of the ISCP and resource sponsorprogramming, input and analysis will be an ISPP. Itwill be approved and presented as a consolidated pro-gramming proposal that will integrate all warfare areaswithin a specific Program Review (PR) or POM built

with with incorporation of guidance issued and bal-anced within controls.

2.2.3.3 Program Objective Memoranda (POM).Annually, each service submits to SECDEF a POM orProgram Review (PR) that is consistent with thestrategy and guidance, both programmatic and fiscal,as stated in the DPG. The POM is associated with theeven years and a PR with the odd years. PRs areminor adjustments to the prior POM NNOR databaseand cover the same fiscal years. Major issues that arerequired to be resolved during the year of submissionmust be identified in the POM. The programs present-ed reflect an analysis of the missions to be achieved,the alternatives to accomplish them, and the requiredresources. In addition to the budget year, the programperiod is 4 years beyond the budget year for costs andmanpower and 7 years beyond the budget year forforces. The POM represents the recommended changesto the current FYDP and specifies, by programelement, the Navy’s force requirements, manpowercosts, material recommendations, and the rationale forthe proposed changes to the FYDP base. Backupdocuments are included with the POM for newprocurements. As directed by the annual scheduledisseminated by the DRB, the Navy initiates andsubmits its POM to SECDEF for approval. Generally,the Navy’s POM cycle commences 3 years prior toprogram execution and is successively reviewed andchanged during the course of the budget cycle. ThePOM that was formulated in October of the currenteven FY covers the planned requirements from the FYthru FY +7 of the FY +2 POM. In October of thefollowing year (odd year), FY +1, the PR cycle beginsand it covers the same years as the prior year POM.Components of the Navy’s POM and the supportingdocuments for surface ordnance are initiated by thePEOs, DRPMs, and Logistics Commands and sub-mitted to COMNAVSEASYSCOM for review, consoli-dation, and forwarding through the review process.Figure 2-2-2 illustrates the multiple budget databasesthat are maintained during a calendar year.

2.2.3.4 Integrated Readiness Capability Assessment(IRCA). Ordnance logistics is within current readiness,one of the CNO’s Top Five Priorities to increase theoperational availabilitiy of our forces. That requiresOPNAV N411 to determine, accurately articulate, andvalidate Navy ordnance readiness requirements tooptimize operational ordnance logistics support capa-bilities and to find the right balance between futureand current ordnance readiness.



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a. Responsibilities:

(1) Naval Operational Logistics Support Cen-ter (NOLSC)-AMMO provide baseline inventory datato OPNAV N411.

(2) Naval Air Systems Command and NavalSea Systems Command (NAVAIR/NAVSEA) OrdnanceProgram Managers provide procurement and mainte-nance funding data and inventory gain/loss data forach weapon/ordnance item under their cognizance toOPNAV N411.

(3) Commander, Fleet Forces Command(CFFC) will provide to OPNAV N411:

a. The Fleet Response Plan (FRP) ord-nance requirements methodology for naval ordnancethat will be used to determine required FRP inventorylevels.

b. Funding requirements and supportingrationale for Fleet ordnance support.

(4) Naval Ordnance Safety and Security Ac-tivity (NOSSA) provides funding requirements andsupporting rationale for Explosive Safety Programs.

2.2.3.5 Joint Program Assessment Memorandum(JPAM). The JPAM is submitted by the JCS toSECDEF to facilitate OSD decisions relative to thePOM submittal. The JPAM provides a risk assessmentbased on the composite of the POM force recommen-dations. It also includes the views of the JCS as to thebalance and capabilities of the overall POM force andsupport levels. In conjunction with the POM, theJPAM provides the basis for issue by the SECDBF ofthe Issue Books (IBs) and Program Decision Memo-randa (PDMs).

2.2.3.6 Issue Books (IB). Based on review of thePOM in relation to the JPAM and the DPG, OSDprepares IBs on matters having broad policy, program,or resource implications. These IBs address broadcategories and constitute an evaluation of how well thePOMs reflect the strategy, and the risks and shortcom-ings involved. The IBs are reviewed by the Services,the Office of Management and Budget (OMB), andfinally, by the DRB. The major issues that are raisedduring the program review will be measured againstthe DPG, available budgetary resources, and themanagement initiatives. These reviews should producea program that demonstrates a maximum degree ofpolicy implementation consistent with national re-

source limitations. There are eight IBs with thefollowing titles:

a. Book 1: Policy and Risk Assessment Book.Focuses attention on broad DoD-wide policy, strategyand resource allocation issues, and estimates the riskassociated with the proposed programs submitted bythe DoD components.

b. Book 2: Nuclear Force Book. Focuses on bothstrategic and theater nuclear force issues.

c. Book 3: Conventional Force Book. Focuses ongeneral purpose force issues.

d. Book 4: Modernization and Investment Book.Focuses on all issues which are predominantly of amodernization and investment nature that are not ap-propriate to include in the nuclear and conventionalforce books.

e. Book 5: Readiness and Other Logistics Book.Focuses on readiness and logistics issues.

f. Book 6: Manpower Book. Focuses on man-power related issues.

g. Book 7: Intelligence Book. Focuses on de-fense elements of the National Foreign IntelligenceProgram, the Defense Reconnaissance Support Pro-gram, and other compartmented tactical intelligenceand related activities.

h. Book 8: Management Initiatives Book. Re-views the application in the POMs of the principlesenunciated in the acquisition management initiatives,and reviews and summarizes the economies and effi-ciencies in the submissions.

2.2.3.7 Program Decision Memoranda (PDM). DRBprogram review decisions are recorded in a set ofPDMs signed by SECDEF and distributed to theservices and OMB. The PDMs conclude the program-ming phase of the PPBS and represent the basis forthe budget submissions.

2.2.4 Budgeting Phase. During the budgeting phaseof PPBS, DoN prepares budget estimates and submitsthem to OSD for review. DoN starts with the first yearof the POM FYDP, as modified by the PDM, as abaseline and reviews all aspects of the program indetail. The review is conducted through the AssistantSecretary of the Navy (ASN) Financial Managementand Comptroller (FM&C) budget process. The PM isrequired to submit a program budget to the ASNFM&C through the chain of command in accordancewith the current ASN FM&C guidance. This is done



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to ensure that the program is both executable andproperly priced. It also ensures refection of congressio-nal actions, late arriving policy guidance, or other dataaffecting program composition. The resulting budgetestimates are forwarded to OSD/OBM as the DoNbudget request supported by a large variety of summa-ry and detailed budget exhibits. The estimates includethe following budget documents:

a. Exhibit P-1. Procurement Program. A fiveyear summary by budget project/activity will be pre-pared for each appropriation, showing the amount foreach project/activity and total program for each ap-propriation. The detail of the consolidated line itemsin this entry should be available upon request. Thereshould be no consolidation into a less than $2 millionline item for any line item requiring specific quantityauthorization and for any Code B item.

b. Exhibit P-1R. Procurement Program ReserveComponents. Provides two sub-line items for each lineitem listed on the P-1. One is for the National Guardand one is for the Reserve. The total for the Reservecomponents cannot exceed the amount of funding in-cluded in the P-1 line item.

c. Exhibit P-5. Cost Analysis. Provides detailedcost information in support of Exhibit P-1 line items.It is essential that this exhibit be complete and accu-rate as it is the most important exhibit in the backupbook. The budget estimate submission will include P-5exhibits containing information for all fiscal yearsfrom prior years through to complete years for allAcquisition Category 1 (ACAT 1) programs, andthrough Budget Year (BY) 2 for all other programs.

d. Exhibit P-5a. Procurement History and Plan-ning. Provides detailed information on the P-5 entriesregarding all prior years having contracts with undeliv-ered assets, Current Year (CY), BY1 and BY2.

e. Exhibit P-20. Requirements Study. Providesdetailed information with regard to the determinationof asset availability and requirements. A P-20 will beprepared for all items being procured, even if the Itemis included in a rolled, aggregated P-1 item, such as“items less than $2 million”.

f. Exhibit P-21. Production Schedule. Providesdetailed information with regard to the monthly pro-duction of all applicable items.

g. Exhibit P-32. Procurement Purchases fromDefense Business Operations Fund (DBOF). Estimatesthe amount of new orders planned to be sent to theDBOF business areas.

h. Exhibit P-40. Budget Item Justification. Pro-vides overall narrative justification covering each P-1item including all advance procurement and spare andrepair part P-1 lines.

i. Exhibit P-40a. Budget Item Justification forAggregated Items. Provides the quantities and fundingcovering the procurement programs included in rolledP-1 line items.

2.2.4.1 Budget Estimates. With the establishment ofprogram levels in the POM, as modified by PDMs, thebudgeting phase begins with the military servicesdeveloping detailed estimates for the budget year ofthe approved program. Annually, the Navy submits itsbudget estimate to SECDEF in accordance with DoD7000.14-R. The budget estimates include the prior,current, and budget fiscal years. The estimates areprepared and submitted based on the program ap-proved in the PDMs. Modifications may be necessaryto remain consistent with changes in national policy.

2.2.4.2 Budget Decisions. After initial review of thebudget estimates submitted by the services to OSD,draft PBD’s are distributed. The budget estimates anddraft PBDs are reviewed jointly by OSD and OMBwith participation and input by the services. Thisreview is iterative and decisions are made whichinlcude the current year, budget year, and the authori-zation year (budget year plus one), including anestimate of the resource impact on the three succeed-ing program years. Budget estimate and changedecisions are reflected in final SECDEF approved andpublished PBDs. PBDs that are approved by theSecretary or Deputy Secretary of Defense are trans-lated into the automated budget review system toreflect changes in the submissions. Periodic summarystatus reports will be provided by the ASD(C) to theSecretary and Deputy Secretary, the OSD managersand staff, OMB, and the submitting DoD components.Status will be in terms of total obligational authority,budget authority, outlays, and military/civilian end–strengths. After review of the Budget Decisions, DoDcomponents may identify issues that warrant a majorissue meeting with the SECDEF. Later decisions madeby the Secretary are announced in revisions to issuedPBDs.

2.2.4.3 President’s Budget. The end result of eachPPBS cycle is the President’s budget which is sent toCongress along with appropriate OSD justificationexhibits for use during the Congressional authorizationand appropriation processes.

2.2.5 Future Years Defense Plan (FYDP).



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2.2.5.1 General. The FYDP, DoD 7045.7-H, is theofficial document which summarizes for each of theservices, the force and resource requirements associat-ed with the programs approved by SECDEF inPDMs, program change decisions, and budget deci-sions. The FYDP is composed of 11 major defenseprograms. In its first dimension, it is used as a basisfor internal DoD program review. In its seconddimension, by the input-oriented appropriation struc-ture, it is used by Congress in reviewing budgetrequests and enacting appropriations. Hence, it servesa purpose of cross-walking the internal review struc-ture with the congressional review structure. Thistwo-dimensional structure and attendant review meth-odology provides a comprehensive approach to ac-counting for, estimating, identifying, and allocatingresources to individual or logical groups of organiza-tional entities, major combat force or support pro-grams referred to as program elements.

2.2.5.2 FYDP Defense Programs. To make meaning-ful decisions, provisions for accumulating and control-ling information, for planning and programming, andin execution, categories called programs are used. The11 programs used by the military services are asfollows.

a. Program I: Strategic Forces.*

b. Program II: General Purpose Forces.*

c. Program III: Command, Communications, In-telligence and Space.*

d. Program IV: Mobility Forces.*

e. Program V: Guard and Reserve Forces.*

f. Program VI: Research and Development, Testand Evaluation.

g. Program VII: Central Supply and Mainte-nance.

h. Program VIII: Training, Medical, and OtherGeneral Personnel Activities.

i. Program IX: Administration and AssociatedActivities.

j. Program X: Support of Other Nations.

k. Program XI: Special Operations Forces.

*Combat Forces Programs.

2.2.5.3 Program Elements. Each of the 11 FYDPprograms are divided into program elements. All Navydepartmental organizations, field activities, and operat-ing forces are assigned to one or more programelements. The account structure of program elementswithin the FYDP programs is designed to display totalcosts in two formats:

a. Organizational. Oriented for management use.

b. Mission. Oriented for planning and program-ming use.

2.2.5.4 FYDP Publication. The FYDP is publishedthree times a year (excluding the historical FYDPwhich is published following the POM update). Itreflects the total resources programmed by DoD byfiscal year. Force structures are presented in the FYDPfor the prior fiscal year, current fiscal year, budgetyear, and the seven succeeding years. Cost andmanpower data are shown for the prior fiscal year,current fiscal year, budget year, and the four succeed-ing years. DoD 7045.7 provides specific guidance andprocedures for processing changes or adding newprograms to the FYDP.

2.2.5.5 New Approved Program Base. During thebudget process, the receipt of PDM, PBD, or SECDEFmemoranda reflecting the decisions of SECDEFconstitutes a new approved program base when enteredinto the FYDP by the Navy.

2.2.6 Budget Execution. Budget execution is thatphase of the budget process which encompasses all theactions required to accomplish effectively, efficiently,and economically the programs for which funds wererequested and approved by competent authority. Thebudget execution phase overlaps the PPBS budgetingphase and continues throughout the period of availabil-ity of the appropriations for obligation or expenditure.Effective budget execution requires procedures forcontrol and evaluation which will ensure compliancewith regulations and limitations established by Con-gress, the General Accounting Office (GAO), theTreasury Department, OMB, and SECDEF, as well asby all echelons of responsibility and command withinthe DoN.

2.2.6.1 Appropriation Enactment. Provisions of theCongressional Budget and Impoundment Control Actof 1974 (P.L. 94-344) require Congress to pass theDoD Appropriations Act by 1 October of each year. Inthe event the Act has not been passed by this time,Congress provides funding authority through a Contin-uing Resolution Authority (CRA) making interim



2-2-9

appropriations available. The intent of the CRA is toprovide funds to maintain operations at a rate necessaryfor the orderly continuation of activities until regularappropriations are enacted. The CRA language normallyprovides for the amounts Congress deems necessary tocontinue operations in support of projects or activitiesuntil appropriation bills can be enacted. Based on theCRA and the DoN request, the Treasury Departmentprepares temporary appropriation warrants which, afterbeing counter-signed by the GAO, are forwarded to theDoN as certification that the specified amounts areavailable for commitment, obligation, and expenditureagainst the direct budget programs.

2.2.6.2 Apportionment. After Congressional enact-ment of the budget into authorization and appropri-ation acts, the services are responsible for accountabil-ity and execution. Obtaining appropriated funds is theinitial step in the budget execution phase. Funds areannually apportioned to the services after review ofresource requirements. Apportionment is defined inDoD 7000.14-R as “A distribution by the Office ofManagement and Budget of amounts available forobligation in appropriation or fund accounts of theExecutive Branch. The distribution makes amountsavailable on the basis of specified time periods,programs, activities, projects, or combinations thereof.The apportionment system is intended to achieve aneffective and orderly use of funds. The amounts soapportioned limit the obligations that may be in-curred.”

2.2.6.3 Allocation. An allocation is an authorizationby a designated official of a DoD component, whichmakes funds available to an operating agency. DoNallocations are made by the ASN FM&C to the headof the responsible office for the appropriation or, if theFinancial Manager is the responsible office, to thehead of the administering office. A sub-allocation is atransfer or delegation to the head of another office,bureau, or command of some portion of the authoriza-tion granted to an allocation holder. When the admin-istration of an appropriation is divided, the allocationholder sub-allocates the entire amount of a budgetactivity, or other subdivision of the appropriation tothe head of another office, bureau, or command whenthat organization has been designated as administeringoffice for the budget activity. The sub-allocationdocument states that all financial control of jurisdic-tion of and responsibility for, and amounts allocatedare passed to the recipient. Generally, sub-allocation ismade to an official who exercises overall administra-tive responsibility for the execution of the programsfunded by the applicable subdivision. The sub-alloca-

tion holder issues allotments to the official whoexercises immediate supervision of the specified portionof the program. Sub-allocations are used only in theinstances of appropriations which are not administeredunder the Resource Management Systems (RMS) con-cept of operating budgets.

a. Purpose. Allocations establish responsibilityfor fund administration and ensure compliance withCongressional intent and OSD constraints in the use offunds for programs below the appropriation level. Theamounts allocated, within the program/budget distribu-tions applicable to each appropriation, provide dollarlimitations for use in administration, accounting, andcontrol. They are subject to reprogramming limitationsestablished by OSD and the ASD FM.

b. Documentation. The document used to conveyauthority from the ASN FM&C to the head of theresponsible office is the Program/Fund AllocationForm ASN FM&C 2058. These allocations establishavailability based on the budget as submitted to Con-gress and modified by Congressional action on thebudget request, by apportionment action of OMB andOSD, and by approved reprogramming actions. Priorto enactment of the annual Appropriations Act, theForm ASN FM&C 2058 establishes the level of pro-grams authorized under the continuing resolution andprovides interim funding for DoN general fund ap-propriations. Amounts are established within the au-thority of the restrictive limitations as stated on theASN FM&C memorandum appropriations; RDT&EProgram/Fund Authorization Form (SD 440); Procure-ment Program/Fund Approval for Direct ObligationForm (SD 487); and other schedules issued by OSD inthe fund authorization process. Upon enactment of theappropriations, amounts established as limitations sub-ject to 31 U.S. Code 1512 through the interim fundingprocedures are rescinded and replaced by the amountsnewly authorized. Distribution of availability within anappropriation is made by budget activity, procurementline item, construction category, program element orother program category as appropriate.

c. Scope. The allocation includes both appro-priated funds and anticipated reimbursements, otherthan those for work and service orders which are sub-ject to automatic apportionment, and therefore, auto-matically increase the allocation. It specifies theamounts that are available for obligation and theamounts that are not available for obligation. Theamounts not available for obligation are categorized byOMB, OSD, and the Office of ASN FM&C. Statutoryor other limitations are indicated by footnotes. Theamount of reimbursable work or service orders received



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and accepted is automatically allocated when apportion-ment is enacted and as a result is not part of theamount allocated on the ASN FM&C Form 2058. How-ever, in the second and subsequent years of availability,the unobligated balance apportioned reflects the unobli-gated balance of reimbursable work and service ordersfrom the prior year, and becomes a part of the allocatedamount. While operating under the authority of a con-tinuing resolution, a reserve is established in Section IAand II of the ASN FM&C Form 2058 to balance autho-rized program amounts with financial resources con-tained in temporary warrants. Obligations and commit-ments may be incurred by procurement line item orother appropriation subdivision in the program amountsindicated on the ASN FM&C Form 2058, provided thatthe appropriation level limitations are not exceeded.

d. Preparation and Approval. The ASN FM&CForms 2058 and 2058-CT are prepared and approvedby the Office of Budget and Reports, on behalf of theASN FM. After approval, they are forwarded to theresponsible office for the appropriation for imple-mentation.

e. Constraints. Generally, the ASN FM&C Form2058 establishes distributions for each program/budgetcategory as applicable and indicates, by footnotes, thequarterly limitations at the overall appropriation levelfor quarterly apportionments. The recipient is responsi-ble for distributing the quarterly limitations as ap-propriate below the appropriation level, ensuring thatthe cumulative total of quarterly limitations does notexceed the quarterly apportionment. The recipient isalso responsible for establishing controls to ensure thatany further subdivisions of allocated funds, as well asallotments, commitments, obligations, and expendi-tures, do not exceed the quarterly and annual limita-tions established by the ASN FM&C Form 2058. Sub-sidiary constraints are shown as footnotes to the ASNFM&C Form 2058 to reflect statutory and/or adminis-trative requirements. Administration of theseconstraints is the allocation recipient’s responsibility.

2.2.6.4 Allotment. An allotment is an authorizationgranted within and pursuant to an allocation orsub-allocation for the purpose of incurring commit-ments, obligations, and expenditures. An allotmentmay be made to a subordinate of a headquarterscomponent by name or to the Commanding Officer ofa shore activity by title. Allotments are used only forappropriations which are not administered under theRMS concept of operating budgets. Sub-allotmentsmay be issued by an allotment holder to transferresponsibility for administration of some portion of thefunds to another activity. In such cases, the sub-

allotment is in a fixed amount and carries the sameresponsibility for administrative control as a primaryallotment.

a. General. Allotments convey the authority toincur commitments and obligations and to make ex-penditures from the allocation or sub-allocation holderto an official who is charged with a specific functionor mission. The allotment, prepared on the Allotment/Sub-allotment Authorization ASN FM&C Form 372,provides the basis for establishment of the accountsagainst which obligation and expenditure documentsare charged.

b. Limitations. Since an allotment is an adminis-trative subdivision of funds, the total amount is limitedby 31 U.S. Code 1512. However, in the case of allot-ments from appropriations for which OMB has grantedautomatic apportionment of anticipated reimbursementsfor work or service orders accepted, such orders pro-vide an automatic increase to the allotment. Althoughan allottee is issued only one allotment from a givenbudget activity, the allotment may provide informationas to further subdivisions at lower levels with stateddegrees of flexibility as to adjustments between thosesubdivisions.

c. Centrally Managed Allotments. A centrallymanaged allotment is a specific amount made availableby the holder of an allocation or sub-allocation forcharges for specified purposes by designated officials,without specific limitations as to any individual offi-cial. Such allotments are established subject to theapproval of the Comptroller when regular allotmentsare impractical. Charges to the centrally managed al-lotments must be limited to those for the specific func-tions for which the allotment is designated and mustbe restricted to transactions which fall within one bud-get activity. An allocation or sub-allocation holder mayestablish no more than one centrally managed allot-ment under a given budget activity. Adequate systemsof control must be employed to prevent over obliga-tion or over expenditure. If absolute controls are notavailable, there must be a system of frequent account-ing and reporting that will provide sufficient notice ofthe need for increasing the allotment or for imposingrestrictions.

2.2.6.5 Reprogramming. Reprogramming encom-passes changes in the application of financial resourcesfrom the purposes originally contemplated and bud-geted for. The term “reprogramming,” however, hasbeen extended to include actions at any level withinDoD to reallocate or redistribute resources amongprogram/budget categories. These reprogramming deci-



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sions are subject to constraints involving thresholdswhich establish the level of approval according to thescope of the proposed change. Limitations wereimposed on the authority granted to DoD for repro-gramming funds, effective with the FY 74 DoDAppropriations Act. Two general provisions of the1974 and subsequent Appropriations Acts have had animpact on the reprogramming of funds. The first statesthat “No part of the funds in this Act shall beavailable to prepare or present a request to theCommittees on Appropriations for the reprogrammingof funds, unless for higher priority items, based onunforeseen military requirements, than those for whichoriginally appropriated and in no case where the itemfor which reprogramming is requested has been deniedby the Congress.” Under the general provision cover-ing the transfer authority granted to SECDEF there isalso a provision... “that such authority may not beused unless for higher priority items, based onunforeseen military requirements, than those for whichoriginally appropriated and in no case where the itemsfor which funds are requested has been denied by theCongress...” As an outgrowth of these provisions, DoDmodified the formal system governing reprogrammingof funds after consultation with the Congressionalcommittees.

2.2.7 Standard Accounting and Reporting System(STARS).

2.2.7.1 General. STARS is used to classify andrecord financial transactions from the Chart of Ac-counts through the allocation, distribution, initiation,commitment, and obligation stages. The Commander,Naval Supply Systems Command (COMNAVSUPSYS-COM) has the responsibility for the overall mainte-nance of the STARS in accordance with the Memoran-dum of Understanding (MOU) of 1 May 1985. Themanagement of STARS is accomplished by the STARSSteering Committee under the MOU guidelines. TheSteering Committee is composed of all principalSTARS user Commands.

2.2.7.2 STARS Users. Users are responsible forperforming the following:

a. Classifying and recording financial transac-tions into STARS, including reimbursable transactions,from the Chart of Accounts through the allocation,distribution of funds, commitment, and obligationstages.

b. Controlling and monitoring all input data tothe various dictionaries and Chart of Accounts.

c. Monitoring the correction of undistributed dis-bursements.

2.2.7.3 STARS Teleprocessing System. Certain man-agement and accounting decisions require real timedata entry and/or retrieval. The teleprocessing portionof STARS provides the capability to meet thisdemand. System users may perform queries, requestspecial reports, and update planning data over remoteterminals. Each transaction is subjected to security andvalidation checks. If valid, it is processed and aresponse is output on the user’s terminal. If an error isdetected during validation or processing, the transac-tion is immediately canceled and an appropriate errormessage is written. STARS teleprocessing programsare designed to enhance entry and retrieval of datafrom the STARS database. To best fulfill managementneeds, an on-line processing capability is supplied forreports (queries) and planning updates that appear tobe most suitable for teleprocessing. These includelow-volume, high-frequency reports and those plan-ning updates which do not affect fund availability,but which aid the managers in financial decisions.Accounting documents which establish and reducefund availability are entered by the user community,and procedures that address these updates are pro-vided in the Fleet Material Support Office DocumentNo. P-104, UM-02. STARS query programs providereal t ime retrieval of current information. Thiscapability ensures the accuracy of reports and theability for system users to make decisions with speedand confidence. In most cases, users are able toemploy the entire range of queries to extract all typesof data. The following are general descriptions ofgroups of queries to provide an overview of theinformation available:

a. Status of Funds Queries. The Status of FundsQuery Program provides various methods of accessingthe Major Claimant, Appropriation, Subhead Requir-ing/Financial Manager, Branch/Program Manager, Cog-nizant Manager, Participating Manager, Job Order,Project Directive Line Item (PDLI), Task, PDLI Suf-fix and Accounts Payable Code Levels of the STARSGeneral Ledger Database. In addition, it allows ac-cess to the Document Status Database records relatedto a given PDLI, or Task and PDLI Suffix, or Ac-counts Payable Code. These queries provide managerswith a rapid response to queries concerning the statusof those funds for which they have been assignedresponsibility.

b. Gross Obligation Planning Queries. Thesequeries access a Special Planning Segment of the Gen-eral Ledger Database and provide the user with a com-



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parison of planned versus actual gross obligations fora specific subhead.

c. Document Status Queries. These queries pro-vide current status of a total document or of an indi-vidual line of accounting within a document. It can beaccessed rapidly with various methods.

d. Transaction History Queries. These queriesprovide users with the capability of obtaining currentmonth transaction change information subsequent tothe last month-end report. Each amount that is outputby the History Queries is identified by an AmountType Code.

e. Reimbursable Queries. These queries give themanager the capability to monitor the entire reimburs-able program from orders received to collection. Theprogram provides various outputs summarized by Ma-jor Claimant, Appropriation, Subhead, Project Unit/Re-search/CAN/POM-SLI and Reimbursable Source Code.

f. Trial Balance Queries. These queries providethe users with cumulative general ledger balances forMajor Claimant, Appropriation, and Subhead Levels.

g. Dictionary Table and Chart of Accounts Quer-ies. These queries access the Dictionary Table andChart of Accounts Database and provide the user withformatted responses from the particular database andsegments requested.

h. Foreign Military Sales (FMS) DictionaryQueries. These queries access the FMS segments ofthe Dictionary Database and provide the user withcase management information.

i. Trial Balance Queries. These queries accessthe right side of the General Ledger Database andprovide the user with a trial balance of general ledgeraccounts at various levels.

j. Payroll/Cost Accounting Dictionary DatabaseQueries. These queries access the STARS Payroll orCost Accounting Dictionary databases to provide theuser with formatted responses illustrating the contentsof the selected database.

k. 2199 Transaction Queries. These queries dis-play transactions from the Transaction Database byline item/input type of the entire operating budget.

l. Status of Funds for Budget Activity Queries.Status of Funds Queries access the General LedgerDatabase and provide the user with the current statusof a specified Budget Activity.

m. Billing Queries. These queries access the In-voice/Billing Segments and the Billing/CollectionsSegments of the Table Database and are intended toaid managers in determining the status of those billsfor which they are responsible.

n. Miscellaneous Queries. Queries in this subsec-tion access the various STARS databases. However,they cannot be categorized in one of the subsectionsabove, inasmuch as they are no consistent with theother programs available.

o. Special Request Reports. Various report pro-grams permit the users to request hard copy reportsvia terminal during regular working hours. All requestsare placed on the database and procesed at night. Thereport will be distributed the following morning to therequester.



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Calendar Year(Odd Year)

Current FY FY + 1 Budget Year

FY + 2 Budget Year + 1

FY + 3 Budget Year + 2

January � Current Execution

� Prepare Tentative TechnicalOperating Budget� Prepare President’s Budget

� issue paper continuance

February� Mid-Year ReviewGuidance� Submit Mid-Year Review� Current Execution

� Submit President’s Budget� Apportionment ReviewGuidance� Submit ApportionmentReview

March

� N)AVSEA Mid-YearReview Questions� Current Execution

� Congressional Hearings

� PR Update GuidanceSubmit PR Update

April � Current Execution �Congressional Hearings � POM Baseline Updates

May � Current Execution � NAVCOMPT Guidance

June � Current Execution � Submit NAVCOMPT

Budget

� POM DBF Review

July � Current Execution

� NAVCOMPT Hearings

� NAVCOMPT Mark-up� Submit RECLAMA

August � Current Execution � OSD/OMB Guidance � Initial POM Review

September

� Balance Spending Authori-

zation / Plan� Preparation for Funding

Closeout� Current Execution

� Congress Submit Ap-proved Appropriation Bills to

President for Signature

� Submit OSD/OMB Budget

� OPNAV Program ReviewGuidance� Submit Program ReviewBriefs

October� Execute Budget� Current Execution

� Draft PBD/MID

� Submit RECLAMA� OSD/OMB Hearing

� Final PBD/MID

� POM Guidance

� Submit POM� NAVSEA POM Review

November �Current Execution

� CNO Issue Paper Guidance

� Submit Issue Papers

December �Current Execution� Congressional Guidancefor Presidents Budget

� POM Assessment Guidance� Submit POM Assessment

NOTES:

� = Execution� = NAVCOMPT� = OSD/OMB� = Congressional� = POM / PR

Figure 2-2-2. PPBES Calendar



2-3-i

CHAPTER 2.3

Requirements Determination

Table of Contents


2.3.1 General 2-3-1

2.3.2 Non-Nuclear Ordnance Requirements (NNOR) Process 2-3-1

2.3.3 Requirements Determination Responsibilities 2-3-4

2.3.4 Program Development 2-3-6



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CHAPTER 2.3

Requirements Determination

2.3.1 General.

2.3.1.1 Characteristics and Principles. The Require-ments Determination process is separate from thePlanning, Programming, Budgeting and ExecutionSystem (PPBES) process, yet directly linked to theprogramming phase of the PPBES. To better under-stand the requirements determination process for non-nuclear ordnance, it is useful to bear in mind thefollowing distinguishing characteristics and principles.

a. As the customer, the Chief of Naval Opera-tions (CNO) and the Fleet define their respectiveneeds in terms of the specific items, their quantities,the time frame they are needed, and their general dis-tribution. As producers, the Program Executive Officer(PEO) and Program Manager (PM) respond by provid-ing the required items in a timely manner and ensuringtheir suitability and reliability for meeting intendedneeds. In this relationship, “service to the customer”and “support of the Fleet” are synonymous. To carrythe analogy a step further, a service warranty existsbetween producer and user, in that the former main-tains continuing responsibility for reliability, configura-tion control, and maintenance.

b. Requirements for surface ordnance are calcu-lated on a principal-item basis. Threat and Level-Of-Effort (LOE) war reserve material munitions require-ments shall be computed to achieve targeting, kill, andpost combat posture objectives approved in the Secre-tary of Defense (SECDEF) Defense Planning Guidance(DPG), as directed in DoDD 3110.6. This is in con-trast to the requirements computation in other com-modity areas where support levels are not directly pre-scribed. Other commodity requirements are computedby an Inventory Control Point (ICP) on a secondaryitem basis considering past demand, or the relationshipof the support item to the end-item program data. Insurface ordnance it is the user who specifies the re-quirement.

c. Programming, budgeting, and procurement re-quirements are calculated in terms of principal lineitems which are organized and summarized under con-trol numbers (see Chapter 6.3), grouping interchange-able Department of Defense Identification Codes

(DoDICs) or Navy Ammunition Logistics Codes(NALCs). Secondary item requirements (related subas-semblies, components, etc.) are aggregated and in-cluded in the requirement for the principal item towhich they relate.

d. Unlike other commodity areas, stratificationdoes not have a significant role in computing individu-al item requirements for surface ordnance. Its primaryuse is to compare assets to requirements in order toisolate candidates for disposal. The stratification pro-cess is described in Chapter 6.7 of this volume.

2.3.2 Non-Nuclear Ordnance Requirements(NNOR) Process.

2.3.2.1 Development. The Navy’s NNOR processimplements the DoD Munitions Requirements Process(DoD MRP) described in DoDI 3000.4. The NNOR isdeveloped in accordance with OPNAVINST 8011.9A.The DoD MRP is initiated when Defense IntelligenceAgency (DIA) publishes the Threat Reports (TRs) forthe operations specified in the current Defense Plan-ning Guidance (DPG) and Contingency PlanningGuidance (CPG). The Navy’s Non-Nuclear OrdnanceRequirements Study (NNORS) is developed by CNO,and coordinated with the operational plans of therespective Commander’s, PACFLT/LANTFLT and withthe ordnance PEOs and DRPMs. The NNOR, whenapproved and issued by CNO, is the Navy’s basicplanning guidance for developing the Program Objec-tive Memorandum (POM) and for programming theplanned support requirements. The NNOR displays bygeographic area the forces, planning factors, andrequirements for selected items.

2.3.2.2 Alterations. Requirements determination is adynamic on-going process, complicated by the inci-dence of changes inherent in the PPBS. Consequently,the Navy must frequently recalculate and adjust itsprogram requirements. These alterations involvechanges in forces, factors, asset and procurementstatus, guidance, etc., or are incurred by the introduc-tion of special projects. This state of flux begins withthe generation of the POM and continues through theapportionment review, 15 to 18 months in the future.



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2.3.2.3 DoD Munitions Requirement Process (MRP).Per DoDI 3000.4 of October 23, 2003, the Secretaryof the Navy will:

a. collaborate with other Military DepartmentSecretaries to develop standard target templates. Pro-vide the target templates to DIA prior to the release ofthe CPG.

b. Review the TRs for completeness and accura-cy of the near- and out-year threat data, including bothquantitative and qualitative capabilities for each the-ater, and provide comments to the DIA..

c. Review the Combatant Commanders’ near-year Phased Threat Distribution (PTDs) to ensure thatthey are aligned with the Operations Plan (OPLAN)concept (e.g. whether PTD percentages match opera-tions concept).

d. Review the Chairman of the Joint Chiefs ofStaff’s out-year PTDs to ensure that the out-year PTDis aligned with Navy modernization requirements.

e. Work directly with OPNAV and the Combat-ant Commands to develop near- and out-year muni-tions requirements according to current DPG, CPG andthe PTDs.

f. Provide near-year munitions requirements dataaccording to prescribed formats, and a detailed de-scription of the methodology used to compute thoserequirements, to the Chairman of the Joint Chiefs ofStaff, the Combatant Commanders, and OPNAV byMarch 15, annually. Total munitions inventory shall beincluded.

g. Provide out-year munitions requirements dataaccording to prescribed formats and a detailed descrip-tion of the methodology used to compute those re-quirements to the USD (AT&L), and D, PA&E, byMarch 15, annually. Total munitions inventory shall beincluded.

h. Use out-year munitions requirements as inputto Navy POM munition investments.

i. Conduct a two-phase assessment of risk tooverall warfighting success due to any differences be-tween computed requirements and both current andprogrammed munition inventories. Use the risk assess-ment measures of effectiveness.

j. Provide munitions inventory projections to theChairman of the Joint Chiefs of Staff and USD(AT&L) 30 days after the POM is submitted.

2.3.2.4 Objectives. The objectives of the NNORprocess are to determine ordnance requirements forcombat and noncombat expenditures, and to providefor the allocation and positioning of assets in accor-dance with Fleet plans. The objectives include thefollowing concepts:

a. The DPG directs implementation of this pro-cess.

b. The NNOR process allows Navy planners tobase munitions requirements on the following con-cepts:

(1) A given force structure, armed to itsdesigned military capability.

(2) The estimated quantity of munitions todefeat a specified threat with that force structure.

(3) The program and planning objectives, forthreat ordnance combat requirements, are the warreserve requirements.

(4) The program and planning objectives, forLevel Of Effort (LOE) ordnance combat requirements,are the war reserve requirements. LOE ordnancecomputations sustain a specific number of Days OfCombat (DOC) as defined in Defense Planning Guid-ance. LOE ordnance computations take into consider-ation shipping losses.

c. These concepts are consistent with the nation-al military strategy of flexible and selective engage-ment to protect U. S. interest through out the worldand to help meet the security needs of the U.S. part-ners in key regions. This strategy requires a readyU.S. military force capable of responding quickly anddecisively to protect U.S. security. The NNOR processaddresses the following key issues.

(1) Involves the Combatant Commander’searly in the process and ensures operational flexibilityin their theater.

(2) Establishes a common estimate of outyearenemy capabilities.

(3) Offers a common architecture to describemunitions requirements.



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(4) Recognizes Navy-unique perspectives.

(5) Facilitates readiness and sustainability ofa decisive naval force.

(6) Ensures coordination between CombatantCommander’s and POE/PM different perspective onrequirements.

2.3.2.5 Non-Nuclear Ordnance Requirements (NNOR)Process.

a. Combat requirements for those weapons in-cluded in the NNOR process are computed annually,based upon inputs from the Navy and Marine CorpsHeadquarters and field staffs.

b. Non-combat requirements are computed by theNon-Combat Expenditure Requirements (NCER) pro-cess.

c. The OPNAVINST 8011.9A applies to thecomputation of combat (i.e. war reserve) requirementsfor selected Threat and Level-of-Effort (LOE) non-nu-clear ordnance under the purview of the NNOR pro-cess. Only Department of the Navy Threat and LOEordnance, which the Non-Nuclear Ordnance Planning(NNOP) Board has agreed to include in the NNORprocess, are within the scope of this instruction. Themembership of the NNOP is detailed in the instruc-tion.

(1) Threat ordnance is used against a finiteenemy target base or enemy targets not easily reconsti-tuted. The combat requirement (program and planningobjectives) is based on the percentage of targets thatmust be destroyed.

(2) LOE ordnance is composed of air-deliv-ered ordnance used against unlimited enemy targetssuch as personnel, bridges, factories and tanks. LOEordnance is also composed of ship gun ammunition,countermeasures devices and sonobuoys which areused according to a specified expenditure rate. LOEordnance currently includes 5-inch ship gun ammuni-tion. The combat requirement is based on either thephysical ability to deliver the weapons (number ofaircraft sorties) or an expenditure rate (rounds perday).

(3) The NNOR process does not currentlycompute a combat requirement for small arms am-munition currently excluded from the NNOR ordnancelist together with ship gun ammunition under 5-inches.OPNAVINST 3591.1C governs how small arms re-

quirements for training and qualification are devel-oped.

d. Combat Requirements. The determinations ofquantities of Threat and LOE ordnance is based on thecombat requirements, which is defined as the war re-serve inventory necessary to achieve the objectivesestablished by Defense Planning Guidance.

e. Annual NNOR update. The purpose of theNNOR process is to establish combat requirements ofdesignated ordnance for use in the POM development.This is accomplished through a family of computermodels utilizing and approved database. The key mile-stones are amplified below:

(1) Database update. The annual NNOR pro-cess is initiated with the issuance, for update, of theapproved database. Participants submit revised data,for their area of responsibility, under flag, DivisionDirector, or Commanding Officer signature.

(2) Issue submission. During the call for thedatabase update, any participant may submit issuesrelating to any aspect of the update. Issues shouldreflect an adequate discussion of concerns, togetherwith suggested alternatives and impacts and, wheneverpossible, a specific recommendation to correct theproblem or deficiency identified in the issue paper.

(3) NNOR Working Group. The NNOR work-ing group reviews the database update and all pro-posed issues and formulates a staff program proposalfor presentation to the NNOP Board Review Group.All significant issues in the database update cycle arepresented to the NNOP Board Review Group.

(4) Database validation and approval. Changesproposed to the database must be consistent withprogrammatic data and related warfighting data. TheNNOP Board Review Group may validate and approveall changes and revise combat requirements proposedduring the update cycle. Issues that cannot be resolvedby the NNOP Board Review Group will be forwardedto the NNOP board for final determination. If data isnot changed during the update cycle the current datawill be used for model computations.

(5) Model computations and evaluation. Afterthe database is revised, requirements are computed andcompared with both the predicted results and previouscomputation.

(6) Output approval. Revised requirements,computed from the updated database, are subject to the



2-3-4

approval of the NNOR Board Review Group. TheNNOR Board Review Group may validate and approveNNOP out put data. Those issues which the NNOPBoard for final determination.

(7) Unusual circumstances. Under very un-usual conditions the NNOP Board may override modelcomputations.

(8) Requirements documentation. The ap-proved requirements will be promulgated for use inthe Department of the Navy budget cycle develop-ment.

f. Addition/Deletion of Ordnance:

(1) The NNOR process encompasses a varietyof ordnance. Theoretically any item of non-nuclearordnance can be introduced into the NNOR process.Historically ordnance has been included to focusattention on high unit cost, to ensure maximumreadiness and sustainability of its in-service life anddue to Department of the Navy, Office of theSecretary of Defense, or Congressional interest. Othercritical warfighting factors, are considered by theNNOP Board when an issue to add a weapon to theprocess is deliberated. Proposals to introduce in-ser-vice weapons to the NNOR process should be for-warded (as issues) during the database update cycle.

(2) New ordnance may be proposed forinclusion in the NNOR process when it has anapproved Operational Requirement (OR) and an InitialOperating Capability (IOC) within the Six-Year De-fense Program (SYDP). The addition of a new weaponis initiated by the appropriate resource sponsor duringthe data update phase. In addition to the abovecriteria, new ordnance proposals must contain informa-tion on platforms, ship-fills, effectiveness and utiliza-tion. The NNOR will compute a combat requirementfor a new weapon only when the NNOP Board (or theNNOP Board Review Group acting within it’s charter)approves the new weapon for inclusion in the process.

(3) The list of weapons for which the NNORprocess computes a combat requirement will bereviewed and validated annually. A weapon is normallydeleted from the NNOR process when it is supercededby a more current weapon. However, an issue to deletea weapon may be initiated at any time during the dataupdate cycle.

2.3.3 Requirements Determination Responsibili-ties.

2.3.3.1 Requirements development for Navy surfaceordnance requires interaction and coordination acrossthe echelons of CNO, Commander, Fleet ForcesCommand (CFFC), other major claimants, and COM-NAVSEASYSCOM. A general summation of theresponsibilities specified in OPNAVINST 8010.12Ffollows.

2.3.3.2 CNO.

a. Provides ordnance logistics guidance andpolicy to CFFC in support of the respective UnifiedCommander’s during the deliberated planning process(N4).

b. Coordinate with CFFC and other major claim-ants to obtain accurate inputs to the NNOR and ensureTraining, Testing, and Current Operational Require-ments (TTCOR) are submitted.

c. Pass TTCOR inputs to Naval Operational Lo-gistics Support Center (NOLSC-AMMO) and resourcesponsors for development of the CNO approved Non-Combat Expenditure Allocation (NCEA).

d. Annually approve and promulgates NCEA tothe CFFC and other major claimants for further dis-tribution to the Naval Forces (N411).

e. In the event of crisis, stand-up the Crisis Re-sponse Center and publish the Letter Of Instruction(LOI).

2.3.3.3 CFFC and MARFORs.

a. Participate in annual Global Naval OrdnancePositioning Plan (GNOPP) update conferences to:

(1) Coordinate within the GNOPP charter andwith NOLSC-AMMO to develop positioning actions tomeet OPLAN requirements, minimize risks associatedwith ordnance shortfalls, and facilitate Time PhasedForce and Deployment Data (TPFDD) execution.

(2) Develop, or revise as necessary, businessrules for the GNOPP based on precise planning factorsincluding: shipfill, OPLAN, and training requirements;storage activities and capacity; and resupply leadtimes.

(3) Resolve deliberate planning, crisis actionplanning, positioning plan development, load planning



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and ordnance positioning strategy issues. If unable todo so, address problem areas to CNO/CMC forresolution.

b. Obtain validated OPLAN ordnance require-ments from the respective service components. Coordi-nate with service components and NOLSC-AMMO re-garding ammunition sourcing, identification ofshortfalls, and completion of the TPFDD during thedeliberate planning process.

c. Conduct periodic assessments of UnifiedCommanders, CFFC requirements support of MajorTheater War (MTW), Small Scale Conflict (SSC) andMilitary Operations Other Than War (MOOTW).

d. Submit to the Commanding Officer, NOLSC-AMMO:

(1) Space Utilization and Storage of Explo-sive/Inert Ammunition Report and Magazine HazardClass Capacity Report to support new production andrework allocations (including NCEA stocks).

(2) Propose changes to 30,000 series allow-ance list for shipfill, mission loads, and cargo loadsbased upon CNO approved combat requirements, witha copy to CNO (N815).

(3) Inputs (revisions to business rules/plan-ning factors) for the GNOPP in support of UnifiedCommander and CFFC OPLANS/CONPLANs andother contingency requirements. Submit copies toNOLSC-AMMO via CNO (N411).

e. Develop tailored allowance lists from whichafloat activities will submit requisitions to meet Uni-fied Commander’s and CFFC requirements.

f. Submit training requirement component of theTTCOR to CNO (N70M10) by 1 October each yearfor development of the NCEA.

g. Manage load plans for all storage activities inrespective Area Of Responsibility (AOR) and coordi-nate replenishment/redistribution required to correctload plan deficiencies (shortages/excess) with NOLSC-AMMO.

h. Coordinate with NOLSC-AMMO when at-tempting to satisfy U.S. Marine Corps naval ammuni-tion shortfalls that cannot be filled from assets held atprimary or secondary naval stock-point within theAOR.

2.3.3.4 Commander, NOLSC-AMMO.

a. Develop, update and manage the GNOPPmodel utilizing inputs from CFFC. Identify ordnancerequiring positioning and publish a 2-year positioningplan. The plan will be updated annually when changesare identified via positioning conferences and theGNOPP Memorandum Of Agreement (MOA).

b. Compute and publish load plans for all navalammunition storage activities.

c. Publish and issue shipfill, mission and cargoallowance lists.

d. Schedule and coordinate annual GNOPP up-date conferences.

e. Coordinate and assist CFFC and Major Claim-ants in developing 30,000 series allowance lists.

f. Coordinate development of ordnance distribu-tion plans, based on GNOPP positioning/load plans,with CFFC. Identify ordnance positioned in support ofGNOPP by specific mission and priority.

g. Develop metrics to measure ordnance distribu-tion compliance relative to the GNOPP allocation andmagazine utilization. Incorporate metrics into theNOLSC-AMMO Ordnance Assessment Profile (OAP).

h. Incorporate ordnance inventory readiness met-rics into the NOLSC-AMMO OAP based on standard-ized readiness definitions and assumptions provided byCFFC and coordinated/reviewed by the Naval Ord-nance Readiness Improvement Program (NORIP).

i. Assist CFFC in the management of load plansby coordinating the ordnance replenishment and redis-tribution.

j. Act as Department of the Navy single point ofcontact for coordination with the Joint MunitionsTransportation Coordinating Agency (JMTCA) for theSingle manager of Conventional Ammunition (SMCA)and non-SMCA common-user ammunition movementrequirements other than Class V (W) (USMC) groundammunition. Provide data required to complete delib-erate planning, crisis actions planning used to facilitateUnited States Transportation Command (USTRANS-COM) feasibility analyses

k. Coordinate sourcing for SMCA held assets.

l. Advise CNO (N411) of changes or impendingchanges in ashore ordnance storage capabilities.

m. Provide new production and rework schedulesand allocation summaries to CFFC. Provide a copy toCNO (N411).



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n. Ensure ordnance automated management sys-tems are kept current with industry technology stan-dards and are able to accommodate changes in a time-ly manner.

o. When directed, stand up a Crisis ResponseCenter to enable timely sourcing, distribution and ac-curate expenditure reporting of naval ordnance.

2.3.3.5 Commandant of the Marine Corps.

a. Provide ordnance and policy to MARFORs insupport of the respective Unified Commanders andCFFC during the deliberate planning process.

b. Coordinates with MARFORs to obtain accu-rate input to NNOR and ensure TTCOR are submitted.

c. Pass TTCOR inputs to NOLSC for develop-ment of the CMC-approved NCEA.

d. Annually approve and promulgate NCEA tothe MARFORs.

e. Resolve U.S. Marine Corps material shortfallsidentified during the deliberate planning process.

2.3.4 Program Development.

2.3.4.1 Procurement and Maintenance Requirements.The PEOs and PMs translate the Total MunitionsRequirements into specific principal item procurementand maintenance requirements for the POM presenta-tion and budget submittal. The programming of theserequirements considers many variables. These includeasset inventories, expenditures, due-ins, allowances,ship offloads, SMCA and Navy maintenance capabili-ties, production data, pricing data, numbers and typesof missile launchers/gun barrels not listed in theNNOR, research and development requirements, etc.These variables are analyzed, interpreted, and used todevelop a procurement plan. The presentation isformally structured by the PMs to produce documentssuch as the Material Planning Studies (MPS), BudgetExhibits, and Munitions Procurements and InventoriesStudies (MP&IS). Collectively, these documents enableanalysis and assessment of current and projected levelsof the total munitions requirements asset readiness,help identify assets and deficiencies, provide detailedbackup documentation for POM and budget submittals,and present information useful to management andhigher level planning and funding authorities. Programexecution is constrained by factors such as assetavailability, production shortfalls, changes in forcelevels and priorities, and resource and fiscal limita-tions. The DPG and supporting NNOR define the total

threat, allocate the Navy’s share of targets, andcompute the level of ordnance required to eliminatethese threats. The PEO’s and PM’s role is to interpretand translate this guidance into specific requirements,develop the POM, formulate the budget, and monitorthe allocation of material resources.

2.3.4.2 Material Planning Studies (MPS). An MPSidentified to each principal item is initiated annuallywith the approved POM and is revised with eachsubsequent budget cycle (NAVCOMPT, OSD, andPresident’s). The MPS, required by NAVSUP-P-485,provides budget and program backup data, specifiesinventory objectives, serves as a basis for detailedprocurement and production analysis and planning,provides a means of exchanging requirements andproduction information within the Navy, and generallyprints a detailed overview of an item’s readinessposture. The MPS covers the prior budget year, thecurrent budget year, and five succeeding fiscal years (atime span that corresponds to the mid-range timeperiod covered by the programming system). The MPStabulates and summarizes the following:

a. Item identification using DoDIC and nomen-clature.

b. Logistics factors such as unit of issue, unitcost, procurement objective by budget year.

c. Procurement lead time.

d. Programming objective for the item by budgetyear through lead time.

e. Gains and losses.

f. Item production costs for each budget year.

g. Current and forecasted material status by fis-cal year.

h. Programming objectives by fiscal year.

i. Actual assets of the item on-hand and assetlocation including in-transit, serviceable, and repair-able.

j. Material status in terms of budget and fundingperiods.

k. Stock experience (usage) for past two years -an inventory summary taking into consideration gainsand losses by reason.

l. Item retention level.

2.3.4.3 Inventory status of stocks and inventorygains and losses are incorporated into the MPS from



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monthly Worldwide Asset and Expenditure Reportscompiled by NOLSC-AMMO. Information and statusconcerning deliveries and forecasted receipts fromcontractors is obtained by the PEOs and PMs fromthe Production Delivery Schedules received from theProducers, or from the SMCA for a SMCA procure-ment.

2.3.4.4 Budget Exhibit. The Exhibit P-20 (Require-ment Study) is prepared in connection with eachbudget submission to show the program procurementquantities for the fiscal year. Each exhibit is organizedfor selected DoDICs and displays the following:

a. Assets on hand.

b. Assets due-in from previous fiscal year funds.

c. Projected usage based on NCEA allocation re-ports and letters.

d. Acquisition objective.

e. Budget fiscal year procurement quantities.

f. Programming objective by element (Shipfill,combat consumption, pipelines, etc.).

g. Historical usage reports.

h. Procurement lead time.

The budget exhibit computations also provide in put to por-tions of the MPS and the MP&IS.

2.3.4.5 Munitions Procurement and Inventories Study.The MP&IS is developed to outline the planning andprogramming objective and extend the coverage con-tained in the budget exhibit through the POM period(e.g., for POM 04, this would encompass fiscal years2005-2011). The MP&IS procurement projections dis-play alternative buy programs as well as the currentapproved FYDP procurement. These alternatives donot represent constraints based on dollars or priorities,but reflect what is required to reach stated objectiveswithin a given time frame. In addition to its primaryuse to assist the Resource Sponsors in development ofthe Sponsor’s Proposed Program (SPP) and Assess-ment Sponsors in program assessment, the MP&ISprovides major input to the procurement shopping listportion of the POM.



2-4-i

CHAPTER 2.4

Industrial Preparedness Planning (IPP)

Table of Contents


2.4.1 Responsibilities 2-4-1

2.4.2 Purpose and Scope 2-4-1

2.4.3 Industrial Preparedness Planning (IPP) Concepts 2-4-1

2.4.4 Single Manager for Conventional Ammunition (SMCA) Responsibilities 2-4-3

2.4.5 Section 806 2-4-3

2.4.6 Program Executive Officer for Integrated Warfare Systems, Naval Gunnery Project(PEO-IWS3C) Conventional Ammunition Program Office Responsibilities 2-4-4

2.4.7 Integrating Industrial Preparedness Planning (IPP) with Current Procurement 2-4-4



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CHAPTER 2.4

Industrial Preparedness Planning (IPP)

2.4.1 Responsibilities. Per DoDI 5160.68 of Decem-ber 22, 2003:

a. The Single Manager Conventional Ammuni-tion (SMCA):

(1) Is responsible to take the lead in develop-ment and publication of an overarching conventionalammunition industrial base strategic plan that supportsthe Military Services conventional ammunition require-ments.

(2) Will manage and invest in a productionbase that supports SMCA assigned conventional am-munition and components to:

(a) Ensure an adequate production base tomeet the Military Services conventional requirements.

(b) Identify and incorporate new and moreefficient production technologies.

(c) Conduct industrial preparedness plan-ning and biennially report production base informationand results to the Military Services.

(d) Coordinate with the Military Serviceson the status of the production base as significantchanges are planned or occur.

(e) Maintain and industry advisory panel inaccordance with the Federal Advisory Committe Act,consisting of conventional ammunition producers andthe Military Services.

(f) Serve as a technical advisor to the JointMaterial Priorities and Allocation Board on matters re-lated to assigned conventional ammunition.

b. The Military Services will:

(1) Retain responsibility for determination ofFuture Years Defense Plan (FYDP) conventional am-munition requirements, and ensure such requirementsare conveyed to the SMCA. The requirements shouldinclude, non-SMCA-managed items using the sameindustrial capabilities as SMCA items.

(2) Provide necessary industrial preparednessplanning information to the SMCA relative to facilitiesretained by the Military Services for ensuring that theSMCA has adequate data upon seeking the bestbalance and assisting in the conduct of industrialpreparedness planning and developing an overarchingindustrial base strategic plan.

(3) Use facilities within the SMCA produc-tion base when they meet the Military Servicesrequirements.

(4) Provide support in development of theoveraching conventional ammunition industrial basestrategic plan.

2.4.2 Purpose and Scope. Chapter 3 ofDOD5160.65M of 1 April 1989 contains joint policiesand procedures for the SMCA IPP program in detail.The purpose of the joint policies and procedures is toprovide the principles of IPP and the aggregation ofreplenishment requirements for ammunition. Industrialpreparedness planning and aggregation of the replen-ishment production needs of all DoD Components forammunition assigned to the SMCA shall be integratedwith the overall acquisition strategy of ammunitionsprograms. The Secretary of Defense (SECDEF) out-lines the goals and objectives of the industrial pre-paredness program through material support planningguidance and other related DoD policy guidance. Fromthe Navy surface ammunition perspective, IPP is aproduct of the requirements determination processwhich is provided to the SMCA, not part of therequirements determination process itself. Since themajority of surface ammunition items are acquired bythe SMCA, only the SMCA IPP process will bediscussed.

2.4.3 Industrial Preparedness Planning (IPP) Con-cepts.

a. The SMCA IPP planners need enough infor-mation from the Services to accomplish meaningfulplanning of the industrial base to support replenish-ment. To fill this need, the Services shall providevalid near-year information and realistic out-year pro-jections to the SMCA. This information will be used



2-4-2

to determine the production capacity required to es-tablish and maintain the production base, or disposeof capacity no longer required.

b. Industrial preparedness planning shall be lim-ited to military end items or components essential tooperational effectiveness under combat or combattraining conditions, or for the safety and survival ofpersonnel; and meet at least one of the followingcriteria:

(1) Requires a long lead-time.

(2) Requires development of, or additional,capacity to meet replenishment production needs.

(3) Require continuous surveillance to ensurepreservation of an adequate base to support replenish-ment production needs.

(4) Required critical skills and/or specialized,unique and/or critical production equipment or facili-ties.

c. Items shall not be selected for planning ifthey:

(1) Are solely for comfort, convenience, ormorale.

(2) Will become obsolete within 12 months.

(3) Can normally be acquired from commer-cial sources in enough quantities in sufficient time forMajor Regional Conflict (MRC) replenishment require-ments.

d. The following assumptions will be used forplanning the industrial base to support replenishment:

(1) Replenishment will be done in peacetimeconditions. Replenishment will be in addition to theongoing FYDP production. Environmental and safetyrestraints will be in effect.

(2) The existing provisions of the DefenseProduction Act (SOAppUSC Section 2077) will bestrictly enforced and used to direct increased output ofcurrent production and to resolve/alleviate materialconflicts between civilian and military and productionthrough use of the Defense Priorities and AllocationSystem (DPAS) Regulation.

(3) Distribution from the strategic stockpilewill be available based upon sufficient justificationand DoD and federal priorities.

(4) Production equipment, identified andavailable in the unassigned DoD industrial reserve,will be provided to the requiring activity for installa-tion based on priority of need.

(5) The U.S. industrial base is undamaged.

(6) Foreign producers (other than Canadian)will not be considered as a source of supply.

(7) Usable Foreign Military Sales (FMS)items under U.S. control will be diverted to U.S.Forces.

e. If the SMCA determines that an item doesnot require formal detail planning due to asset pos-ture, insignificant quantities or commercial availabil-ity, the requiring Service will be advised prior tofinalization of planning.

f. The Services and the SMCA shall plan fortransitioning of items according to Chapter 2 of DoD5160.65-M.

g. Special actions may be needed to qualify orpreserve the industrial base for items from foreignsources. In cases where dependency on foreignsources exist, the SMCA and the Services shall takealternative industrial preparedness measures as ap-propriate, including the qualifying of standby domes-tic production capability.

h. The true production capability of plannedproducers must be ascertained by the SMCA. To doso, SMCA review teams will make periodic on-sitereviews of selected industrial base activities.

(1) A schedule of visits to planned producersshall be prepared and provided annually by theindustrial preparedness activities of the SMCA.Changes and results from the survey are then used toupdate the SMCA Production Base Plan (PBP) data-base and subsequently support the Armament SystemsAutomated Production Plan (ASAPP).

(2) The SMCA review team coordinates theon-site review with the Industrial Analysis Support(IAS) Manager. The IAS Manager is the DoD designeewithin the Defense Logistics Agency (DLA), responsi-ble for performing IPP in plants under his or hercognizance. The Industrial Operations Command (IOC)



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Deputy Chief of Staff (DCS) for Industrial Readinessserves as the IAS manager for the organic ammunitionproduction base. This includes the Government-Owned, Contractor-Operated (GOCO) and Govern-ment-Owned, Government-Operated (GOGO) plants.

(3) The IAS Manager becomes a member ofthe team and, as such, should advise the team leaderof any shortfalls experienced by the contractors priorto the inspections of their plants.

(4) After review and evaluation, the SMCAreview team shall determine the reliability of theoverall planned producers production capability.

(5) In case of capacity differences or short-ages to met total Service requirements, the findingsshall be reviewed by the SMCA IPP Activity forresolution and corrective action.

(6) The SMCA shall provide the highestcaliber of industrial expertise consisting of design,production, and scheduling experience.

2.4.4 Single Manager Conventional Ammunition(SMCA) Responsibilities. The SMCA shall performthe following functions:

a. Aggregate DoD component replenishment re-quirements as described in Chapter 3 of DoD5160.65-M.

b. Establish and maintain production capabilityunder current DoD instructions to supplement privatecapacity enough to support demand rates. Justify ex-ceptions on a case-by-case basis.

c. Fund for base retention costs, including lay-away and maintenance. Relate these costs to the lev-els of readiness needed for replenishment.

d. Ensure that all SMCA replenishment require-ments are planned against the production base. Beforemaking major changes in requirements or productionbase capability, promptly notify the concerned Ser-vice(s).

e. Ensure full munitions support for the MilitaryServices and selected allied forces to support replen-ishment by:

(1) Establishing and maintaining a conven-tional ammunition production base that meets assignedpeacetime and replenishment needs.

(2) Establishing and maintaining enough stor-age and handling capability to meet assigned replen-ishment requirements.

f. Improve planning with contractors, includingseparate funding and planning to the second and thirdtiers when necessary. Develop industrial preparednessplans for replenishment by one of several methods:

(1) Using the DD 2575, “DoD IndustrialPreparedness Program Production Planning Schedule,”(or approved replacement form) under which thecontractor takes part voluntarily.

(2) Using contract clauses or similar methods.These methods may be used when funding is avail-able.

g. Retain conventional ammunition capacity inthe highest possible state of readiness commensuratewith DoD policy and the economic tradeoff betweenmaintenance and item inventory.

h. When appropriate, recommend that peacetimecontracts be negotiated with planned producers foracquisition of planned items under Federal Acquisi-tion Regulation (FAR) Section 6.302-3 to encouragemore active and effective industry participation inIPP.

i. Provide data back to the Military Servicesconcerning the status of IPP for SMCA items bymeans of the SMCA Production Base Plan (PBP) andother reports. Such data and reports shall be based onan all-up-round analysis.

2.4.5 Section 806.

a. Section 806 of the Strom Thrumond NationalDefense Authorization Act for Fiscal Year 1999 statesthat the official designated as the SMCA in the De-partment of Defense shall limit a specific procure-ment of ammunition to sources within the nationaltechnology and industrial base in accordance withSection 2304(c)(3) of Title 10, United States Code(U.S.C), if that manager determines that such limita-tion is necessary to maintain a facility, producer,manufacturer, or other supplier available for furnish-ing an essential item of ammunition or ammunitioncomponent in cases of national emergency or toachieve industrial mobilization. Section 806 specifesthat the term conventional ammunition has the mean-ing given that term in DoDD 5160.65, dated 14 April2004.



2-4-4

(1) The SMCA, U.S. Army, Program Execu-tive Officer for Ammunition (PEO-AMMO), is respon-sible for annually publishing the “Conventional Am-munition End Item/Component at Risk List.” This listwill identify ammunition or components that potential-ly qualify for restricted competition. DoD 5000.60-Hof 1 April 1996, Assessing Defense Industrial Capabil-ities, provides guidance in preparing the list.

(2) The SMCA (PEO-AMMO) will receiveall acquisition plans and strategies that include “Con-ventional Ammunition” prior to approval. The purposeof the review is to determine if the planned approachto competition is consistent with retaining the nationaltechnology and industrial base capabilities required fornational security, considering all risk factors.

(3) If the SMCA agrees wtih the competitiveapproach, that official signs the “Section 806 Deter-mination.”

(4) If the SMCA agrees with the competitiveapproach, the program manager and the DCS forAmmo will need to work together to resolve thedifferences.

b. The Defense Federal Acquisition RegulationsSupplement (DFARS) SubPart 207.1, AcquisitionPlans, contains guidance regarding acquisition plansand their review by the SMCA.

2.4.6 Program Executive Officer for IntegratedWarfare Systems, Naval Gunnery Project Office(PEO-IWS3C) Conventional Ammunition ProgramOffice Responsibilities. As the Navy’s surface am-munitions representative in the IPP process, the PMwill perform the following:

a. Provide replenishment requirements to theSMCA based on force structure, weapons systems,and common scenario latest planning guidance.

(1) Replenishment requirements. Focuses onreplacing losses of the most demanding of two nearlysimultaneous MRCs.

(2) Asset Posture. This information is re-quested to allow the SMCA to determine baseretention and sizing requirements.

(3) Critical Items List (CIL). A CIL ofreplenishment items.

(4) Other Contingencies. Requirements forother contingencies as they become know.

b. Coordinate wtih the SMCA to ensure thatadequate Ammunition Data Lists (ADLs)/TechnicalData Packages (TDPs) are available for IPP.

c. Use Navy procedures for item selection andrequirements determination.

d. Coordinate with SMCA IPP planners to en-sure that production base planning is accomplishedearly in the life cycle of items still in Research andDevelopment (R&D) and not yet transitioned.

e. Provide Service requirements for commoncomponents of threat-oriented and other non-SMCAitems so that they can be reviewed jointly with otherreplenishment needs.

f. Is responsible for developing written acquisi-tion plans and strategies for their commodities, to atleast the ammunition family/caliber level. The ac-quisition plan must be submitted to the SMCA for aSection 806 review and approval, prior to issuance ofa solicitation. This requirement is applicable for allnew purchases of conventional ammunition includingnew procurements of conventional ammunition cov-ered by previously approved acquisition plans.

2.4.7 Integrating Industrial Preparedness Planning(IPP) with Current Procurement. To ensure maxi-mum coordination between the planning process andcurrent procurement plan, integration must take placeearly in the procurement plans. Planners shall makeoptimum use of the Federal Acquisition Regulations(FARs) and DoD directives to keep the productionbase in a high state of readiness while meetingplanning requirements and objectives. The Data ItemDescription (DID) is a contractual document that maybe included in solicitations and contracts for selectedsystems and items designated for the IPP. The acquisi-tion activity may conduct IPP by direct discussionwith a selected prime contractor. The appropriate IASManager will be notified of the “direct planning”choice and be invited to participate. In certaininstances, the acquisition activity may award a specialstudy contract to a contractor to accomplish planning.IAS Managers will be kept informed of all specialstudies that may affect their function. Whichever ofthese planning alternatives is used by the acquisitionactivity, close coordination must be accomplishedbetween the Industrial Preparedness Planner, the Pro-curement Planner, and the IAS Manager.



2-5-i

CHAPTER 2.5

Non-Combat Expenditure Program

Table of Contents


2.5.1 Non-Combat Expenditure Requirements 2-5-1

2.5.2 Non-Combat Expenditure Allocation (NCEA) 2-5-1

2.5.3 Testing, Training and Current Operational Requirements (TTCOR)/Non-CombatExpenditure Allocation (NCEA) Processes 2-5-2

2.5.4 Testinig, Training and Current Operational Requirements (TTCOR)/Non-CombatExpenditure Allocation (NCEA) Control 2-5-2



2-5-1

CHAPTER 2.5

Non-Combat Expenditure Program

2.5.1 Non-Combat Expenditure Requirements.

2.5.1.1 General. Non-Combat expenditure is the termfor all expenditures of ordnance other than for use incombat operations. Testing, Training and CurrentOperational Requirements (TTCOR) serves as thebaseline for the development of Non-Combat Expendi-ture Allocation (NCEA). NCEA supports the follow-ing:

a. Training/Exercises afloat and ashore to main-tain a proficiency level of readiness for combat.

b. Test expenditures including Research, Devel-opment, Test and Evaluation (RDT&E) for out ofproduction ordnance items, ordnance evaluation andstructural firings.

c. Current Operational Requirements (COR) isdefined as the quantity of munitions encompassingpeacetime operational requirements and supports thefollowing:

(1) Natural Disasters.

(2) Riot Control.

(3) Saluting Rounds.

(4) Explosive Ordnance Disposal.

(5) Operations Other than War.

(6) Competitive Marksmanship Training andCompetitions.

(7) Force Protection and Physical Security.

(8) Requirements for small scale contingen-cies are not to be COR.

2.5.1.2 Projection Source. Generally, requirementsfor a and b are predictable and can be projected forthe upcoming fiscal year and nine outyears. For theother expenditures, prior year actual expenditure datashould be analyzed to provide the basis for projectingoutyear requirements.

2.5.1.3 TTCOR Major Claimants. Activity require-ments are submitted via the chain of command by 1October. Those requirements are consolidated by majorclaimants for submission to the Chief of NavalOperations (CNO) (due on 1 January annually for theupcoming fiscal year and two outyears). The majorclaimants are listed in the current NAVSUP P-724,along with their authorized sub-claimants.

2.5.2 Non-Combat Expenditure Allocation (NCEA).

2.5.2.1 Naval Operational Logistics Support Center(NOLSC-AMMO) develops a proposed NCEA basedon an assessment of the TTCOR, the NNOR, pastexpenditures, current inventory posture, projected de-liveries, maintain requirements and acquisition/programmanagers inputs. The proposed allocations are sub-mitted to CNO (N7) resource sponsors for concur-rence/revision.

a. NOLSC-AMMO consolidates and distributesthe proposed NCEA to major claimants for reviewprior to the annual NCEA conference. The NCEAconference is the forum for major claimants and CNO(N7) resource sponsors to have the opportunity todiscuss current issues, concerns and readiness impactsof the proposed allocations. Revisions to the proposedallocations can only be authorized by the CNO re-source sponsors.

b. The annual NCEA forum results in finaliza-tion of the next year initial allocations whichNOLSC-AMMO forwards, with the promulgation let-ter, to the NCEA policy sponsor CNO (N411) forapproval.

c. Major claimants are notified by NOLSC-AMMO when the approved NCEA has been loadedinto Ordnance Information System-Wholesale (OIS-W) for their subsequent sub-allocations by Navalmessage. The NCEA is effective 1 October annually.

2.5.2.2 Sub-Allocation. Upon receipt of their annualtotal NCEA, major claimants sub-allocate ordnance totheir authorized subordinate commands and activitiesto meet their submitted requirements. Major claimantsestablish and maintain sub-allocations in OIS-W.



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OIS-W registration provides a means for verifyingNCEA requisitions and monitoring over-expendituresversus allocations. Only major claimants and TypeCommanders (TYCOMs) are authorized to makesub-allocations to their sub-claimants.

2.5.3 Testing, Training, and Current OperationalReequirements (TTCOR)/Non-Combat ExpenditureAllocation (NCEA) Processes.

2.5.3.1 NCEA Augment Procedures.

a. All augment requests originated from subor-dinate commands shall be submitted via the chain ofcommand to the major claimant. Prior to submittingan augment request to the next higher headquarters inthe chain of command, every effort should be madeto reallocate assets from within at each commandlevel. If reallocation is not possible, and the augmentrequest reaches the major claimant, the major claim-ant shall first attempt to reallocate from within. Ifsufficient assets are not available, the major claimantshould coordinate with other major claimants for pos-sible reallocation. If this option is not feasible either,the major claimant may submit an augment request toNOLSC-AMMO.

b. When new requirements, or additional justifi-cation on original requirements, are identified, majorclaimants can submit augment/decrement request toNOLSC-AMMO. See NAVSUP P-724 for guidance insubmitting.

c. NOLSC-AMMO assesses the inventory pos-ture to determine asset availability for augment ap-proval and obtains CNO (N7) resource sponsor con-currence. NOLSC-AMMO processes augments to theNCEA and updates OIS-W with changes.

d. Major claimants conduct an annual mid-yearreview by 15 May of year-to-date NCEA expendituresand anticipated expenditures for the balance of thefiscal year. This review will assess NCEA postureand form the basis for augment/excess turn-in re-quests.

2.5.3.2 Sub-allocation Process. Commands under TY-COM level, on a case-by-case basis, may obtainauthorization for sub-allocation to their sub-claimantsvia the TYCOM and major claimants. Under majorclaimant approval, the duty appointed command mustnotify NOLSC-AMMO, for further instruction onbecoming an authorized sub-allocator in OIS-W.

2.5.3.3 User Activity Processing. Once the useractivities receive their allocation letter, they preparetheir TTCOR submission in accordance withCNO NNOR, and training and readiness requirementslisted in applicable instructions. The resulting TTCORsubmissions are submitted back up the TTCOR chainof command, being consolidated at each level, reach-ing NOLSC-AMMO, by the 1 October deadline.

2.5.3.4 Requisition Submittals. Once each level downto the end user has entered their suballocation intoOIS-W, the using activities can submit requisitionsagainst their NCEA for the current FY. Any requisi-tions submitted prior to the allocation being registeredin OIS-W will be back ordered.

2.5.4 Testing, Training, and Current OperationalReequirements (TTCOR)/Non-Combat ExpenditureAllocation (NCEA) Control.

2.5.4.1 CNO and Major Claimants. It is the responsi-bility of each major claimant to ensure that allsubordinate commands and using activities are awarethat non-combat requirement submissions must betimely and contain valid/credible requirements for theordnance needed during the upcoming year andoutyears. Expenditures of allocated quantities areclosely monitored by CNO, PMs, and NOLSC-AMMO,not only as a check for over expenditure, but also forchronic overestimation of requirements. As each annu-al submission is prepared, previous outyear projectedrequirements should be adjusted to reflect real worldenvironments for annual usage. Since unexpendedannual allocations are not authorized for carry-overbeyond 30 September, justification or rationale formajor increases over prior year expenditures should beannotated on requirement submissions.

2.5.4.2 User Registration. End user registration inOIS-W provides a means for verifying NCEA requisi-tions and monitoring expenditures versus allocationdata. To avoid delays in obtaining required ordnanceand to enhance justification for future allocations it isessential that:

a. End user NCEA registration in OIS-W beaccurate and timely.

b. Changes in allocations and reallocations beregistered.

c. End user Unit Identification Codes (UICs) bespecified as the second UIC in requisitions requiringFor Further Transfer (FFT) via shore activity or Mo-bile Logistics Support Fleet (MLSF) ship, and in re-porting on Ammunition Transaction Reports (ATRs).



3-i

SECTION 3


Table of Contents



3.2 Acquisition Management 3-2-1

3.3 Procurement 3-3-1

3.4 Configuration Management 3-4-1

3.5 Product Improvement Program (PIP) 3-5-1



3-1-i

CHAPTER 3.1

Introduction

Table of Contents


3.1.1 Scope 3-1-1

3.1.2 Perspective 3-1-1


3-1-4 Secretary of the Navy Support 3-1-1

3.1.5 Acquisition Reform 3-1-1


Figure Title Page

3-1-1 Acquisition Management Organizational Relationships 3-1-3

3-1-2 Office of the Assistant Secretary of the Navy (Research, Development and Acquisition) 3-1-4



3-1-1

CHAPTER 3.1

Introduction

3.1.1 Scope. DoD 5000 directives describe the ac-quisition policy process and requirements. No attemptwill be made to restate those program or acquisitionrequirements up to Milestone C in this document.Some references will be made to Research, Develop-ment, Test & Evaluation (RDT&E) to describe rela-tionships, but the emphasis and of this Volume is todefine life cycle management of an ammunition itemafter successful passage through acquisition MilestoneC.

3.1.2 Perspective. The primary focus of acquisitionmanagement is to manage the acquisition of thoseammunition items identified in the Congressionallyapproved program within the funded delivery period.Many acquisition issues are being addressed concur-rently with program issues which have significantimpact on each other. For surface ammunition, thepersonnel addressing the acquisition issues within theProgram Office are the same personnel addressing therelated program issues.

3.1.3 Organizational Relationships. The organiza-tions involved in acquisition management are predomi-nantly spread throughout the NAVSEA, SMCA, andcontractor organizational structures. Figure 3-1-1 iden-tifies the organizations involved in the acquisitionprocesses and their relationships to each other. Thefollowing Sections in this Chapter will describe theacquisition processes and identify the organizationalresponsibilities for those processes.

3.1.4 Secretary of the Navy Support. The Navy’sAcquisition Executive, Assistant Secretary of the Navy(Research, Development and Acquisition) (ASN-RDA)has provided SECNAV Instruction 5000.2C of Novem-ber 19, 2004, Subj: Implementation and Operation ofthe Defense Acquisition System and the Joint Capabil-ities, to issue mandatory procedures for DoN imple-mentation of Department of Defense acquisition guid-ance and Chairman of the Joint Chiefs of Staff JointCapabilities Integration and Development System.

a. An organization chart of the Office ASN-RDA is provided as Figure 3-1-2.

b. A comprehensive DoN acquisition supportwebsite titled “ASN(RDA) Information System isavailable. Users must be military or government civil-ian and request an account for access.

3.1.5 Acquisition Reform. Secretary of Defense(SECDEF) Policy memorandum of 29 Jun 1994,promulagated principals of specification and standardsreform. An assistant Secretary of the Navy (RD&A)memorandum dated 27 July 1994, implemented theabove SECDEF Policy memorandum. The initiativesof acquisition reform that apply to ordnance acquisi-tion include:

a. Performance Based Business Environment.Performance specifications shall be used for the ac-quisition of all new systems, major modifications,upgrades to current systems, and non-developmentaland commercial items, for programs in any acquisi-tion catagory. Performance or performance-basedspecifications are those specifications that defineequipment or systems in terms of observable andmeasureable operational and support characteristicsand interfaces that allow the product to effectivelyand efficiently perform its mission. In cases where aperformance specification is not practical, a non-gov-ernment standard shall be used (non-government stan-dards are those which are industry standards devel-oped to fulfill other than a military need). The use ofmilitary specifications and standards is authorized asa last resort, with an appropriate waiver. Considerableprogress has been accomplished in reducing the re-liance on military specification and standards sincethe initiation of acquisition reform.

b. Contracting. All solicitations for $100,000 orgreater shall contain language encouraging contrac-tors to submit alternatives to specifications and stan-dards cited in the solicitations. Only those data re-quirements which are required by law or add valueshall be included in a contract. Program Managers(PMs) shall have final responsibility for the data re-quired by the program.

c. Configuration Management. To the extentpractical, PMs shall maintain configuration control offunctional and performance requirements only, givingcontractors responsibility for the detailed design.Configuration requirements shall be prudently tailoredto the material item being procured, whether it isdeveloped at government expense or privately devel-oped and offered for government use. Such require-ments will be used to control form, fit, and functional



3-1-2

characteristics while minimizing design constraints onthe contractor.

d. Single Process Initiative. Because it is gener-ally not efficient to operate multiple, government-unique management and manufacturing systems with-in a given facility, there is an urgent need to shift tofacility-wide common systems on existing contracts.

The single point of contact for this effort will be theAdministrative Contracting Officer (ACO) assigned toa facility. ACOs are directed to encourage contractorsto prepare and submit concept papers describing prac-tices that will permit uniform, efficient facility-widemanagement and manufacturing systems and a meth-od for moving such systems.



3-1-3

Tasking and Funding=Coordination=

Asst. SECNAV (ASN)Research

Development &Acquisition (RDA)

Design Agent

Acquisition EngineeringAgent

Engineering Agents

SMCACommodity

Teams

Contracting Offices

NVLNO SMCA

Army GOGO/GOCO Commercial Contractor

JOCGAcquisitionSubgroups

NSWCDIVCrane

Producers

NSWCDIVIndian Head

(CADs/PADs)

NOLSC-AMMO

PMConventionalAmmunition

(PEO-IWS3C/PM4)

System Integration Agent

PEO-IWS3CNaval Gunnery Project

Office

PEO-IWS

Figure 3-1-1. Acquisition Management Organizational Relationships



3-1-4

Asst. SECNAV (ASN)Research

Development &Acquisition (RDA)

DASNINTEGRATED WARFARE

PROGRAMS

NAVAL AIRSYSCOM

DASNACQUISITION MGT

PEOs

DRPMs

DASN SHIP PROGRAMS

DASN AIR PROGRAMS

NOTES:

Organizational Structure abbreviated for Ordnance related positions.

Full ASN-RDA organization structure available at:

http://www.hq.navy.mil/RDA/RDAOrg.asp

Full PEO organization structure available at:

http://www.hq.navy.mil/RDA/PMOrg.asp

DASNLITTORAL AND MINEWARFARE PROGRAMS

NAVAL SEASYSCOM

NAVAL SUPPLYSYSCOM

MARINE CORPSSYSCOM

DASNRDT&E

Figure 3-1-2. Office of the Assistant Secretary of the Navy (Research, Development and Acquisition)



3-2-i

CHAPTER 3.2


Table of Contents


3.2.1 Acquisition Engineering 3-2-1

3.2.2 Engineering Responsibilities 3-2-1



3-2-1

CHAPTER 3.2


3.2.1 Acquisition Engineering.

3.2.1.1 General. The origin of an ordnance itembegins with adapting a basic research breakthrough toan application that meets a military requirement or bya state-of-the-art development that enhances or fulfillsa military requirement. An ordnance subsystem con-cept is prototyped by the fabrication of test models. Iftests are successful, models are refined to achievemaximum effectiveness and are stabilized for pilotplant production. Pilot plant production provides suffi-cient quantities for Technical Evaluation (TECHEVAL)and Operational Evaluation (OPEVAL) under all pos-sible conditions. Upon completion of such evaluations,and upon demonstration that operational safety andgeneral performance parameters have been met, theconfiguration is Approved for Limited Production(ALP) or Approved for Full Production (AFP). Fol-low-on Low Rate Initial Production (LRIP) serves toprove out the production capability. Under certaincircumstances, when safety is not a factor and onlyminor design improvements are necessary, LRIP maybe initiated and AFP granted during or upon comple-tion of LRIP. When a military requirement is estab-lished for a new ordnance subsystem concept, theCommander, NAVSEA assigns functions and responsi-bilities to managers and agents as described inNAVSEAINST 5400.57. The engineering assignmentsfall under the following titles.

a. Technical Direction Agent (TDA). A Navalactivity responsible for direction and developmentduring the conceptual phase and the advanced devel-opment stage.

b. Design Agent (DA). Usually the same activi-ty as the TDA, responsible for the final developmentof a configuration for prototype, LRIP, and full pro-duction.

c. Acquisition Engineering Agent (AEA). A Na-val activity responsible for technical and engineeringsupport during development, initial production, andproduction after AFP.

d. System Integration Agent (SIA). A Naval ac-tivity responsible for systems interface compatibilitymatters.

Since the TDA and DA assignments are usually to thesame activity, combined TDA and DA functions andresponsibilities are discussed in this section under theinclusive term of DA.

3.2.2 Engineering Responsibilities. Annually theProgram Manager (PM) assigns engineering responsi-bilities for specific ammunition items to specificcommands in a Tasking Statement. Within the NavalSea Systems community these Tasking Statement arecalled SEA TASKS. This Tasking Statement accompa-nies the annual funding document specifying theauthorized use(s) of the funds being provided. Recur-ring engineering responsiblities are listed under theappropriate title as follows:

3.2.2.1 Design Agent (DA).

a. DAs are responsible for all aspects of devel-opment from the conceptual phase to ALP or AFP.During production, DAs assist in production and test-ing problem areas and participate in production au-dits, surveys, and conferences. During the in-serviceand operational phases, DAs review Fleet perfor-mance and quality evaluation feedback reports toverify reliability, performance, effectiveness, andmaintainability of the original design. DA engineeringsupport responsibilities for the basic design continuethroughout the life cycle.

b. In addition to having primary responsibilityfor development of an ordnance item, DAs are re-sponsible for performance of the basic designthroughout the remaining life cycle, including effec-tiveness upon expenditure. Upon receipt of negativefindings to the basic design, the DA is responsible forcorrective redesign of existing and future configura-tions of the item.

c. DAs are generally responsible for productimprovement or value engineering design changes,ei-ther corrective in nature, or as a result of state-of-the-art advancements.



3-2-2

d. U.S. Naval ammunition is designed to be assafe and reliable as possible. Many items contain“fail-safe” or redundant safety features and backupfunctioning systems. Prior to AFP, extensive tests areconducted at all stages of development and Fleetevaluation. In spite of safety features and extensivetesting, ammunition is inherently dangerous and iscapable of major malfunctions under certain condi-tions. Major malfunctions which result in, or havepotential for, causing injury to personnel or damageto equipment are a primary concern to all engineeringsupport activities.

e. The DAs objectives are to attain a zero inci-dence of major malfunctions. Incidents that occurmust be investigated and the cause(s) isolated beyonddoubt as not attributable to a defective basic design.

f. Specific DA Engineering Responsibilities:

(1) Design ammunition items or componentsas directed by the Program/Project Manager (PM) totake advantage of new technologies or meet newthreats assigned to surface ammunition.

(2) Prepare and update Technical Data Pack-ages (TDPs) for the configuration identification of allassigned ordnance items.

(3) Review and make technical recommenda-tions on producer requested deviations.

(4) Review engineering change proposals in-cident to production or procurement.

(5) Participate in pre-award surveys, post-award conferences, and product-oriented surveys.

(6) Participate in production line assessmentat the producer’s plant.

(7) Develop standard test procedures applica-ble to first article and acceptance tests.

(8) Participate in analysis and investigationsof malfunctions as directed by the PM, and recom-mend corrective actions.

(9) Develop Product Improvement Programs(PIPs) as directed by the PM to correct designdeficiencies or reduce cost for ammunition itemscontained in the procurement plan.

(10) Develop appropriate disposal proceduresfor ammunition items under their development and forassigned ammunition items in the inventory whosepresently documented disposal procedure is no longerenvironmentally acceptable.

(11) DAs are expected to update the ItemQualification database with documentation associatedwith cataloging, final type qualification, InsensitiveMunitions, and other Safety/Environmental documents.Access to the Item Qualification database is availablethru the Conventional Ordnance Resource Portal(CORP) website.

g. DA Budgeting and Funding.

(1) Budgeted and funded by the PM forproduction engineering and for product improvementsupport. Procurement of Ammunition Navy and Ma-rine Corps (PAN-MC) funds are programmed annuallyfor production engineering for each type subheadscheduled for procurement. Product improvementfunds are included only for specific items as appropri-ate (e.g. 5”/54 ammunition). Upon Congressionalbudget approval, funds are allocated by the PM toeach DA on Work Request (WR) documents.

(2) Budgeted and funded by the PM formalfunction investigations, including the costs ofspecial tests for determination of failure modes.O&MN funds under the budget line entitled ISEASupport are budgeted annually based on PM projectedrequirements/historical cost. Upon Congressional bud-get approval, funds are allocated by the PM to eachDA on work request documents.

(3) Research and development functions ofDAs for ammunition prior to ALP/AFP are budgetedand funded by the PM using RDT&E funds.

3.2.2.2 Acquisition Engineering Agent (AEA).

a. Upon AFP, engineering responsibility shiftsfrom the DA to the AEA. AEAs provide configura-tion control and production engineering support formanufacturing, loading, and assembly.

b. The AEA is the primary engineering activityfor ammunition after AFP. General responsibilities in-clude identifying and controlling ammunition itemconfiguration, and maintaining safety and quality dur-ing production.

c. Specific AEA Engineering Responsibilities.



3-2-3

(1) Maintain current technical data for theconfiguration identification of all assigned ammunitionitems in the Automated Configuration ManagementData System (ACMDS) described in Section 3-4 ofthis volume.

(2) Act as the focal point for coordinatingand negotiating with regard to production engineering,product assurance, and configuration management.

(3) Prepare and issue Automated Data Lists(ADLs) for items requiring procurement.

(4) Review and approve, based on DA con-currence, contractor-requested minor deviations.

(5) Refer major and critical deviations to thePM and maintain a record of all deviations forassigned ammunition.

(6) Develop a TDP priority list for DApreparation, and review TDPs prepared by the DA.

(7) Review and record engineering changeproposals incident to production or procurement.

(8) Participate in production line assessmentat the producer’s plant.

(9) Help develop and coordinate standard testprocedures applicable to first article and acceptancetests.

(10) Coordinate the development of the sched-ule identifying the planned procurement of items forNavy and FMS which will require DA design andengineering support in the out years.

(11) Approve and assign numbers to DAprepared Hazardous Component Safety Data State-ments (HCSDS) relating to new items.

(12) Provide operations research and statisticalanalysis services including requirements determination,to support the PM’s acquisition process.

(13) Furnish the Contracting Office with accu-rate and current data required for the preparation ofprocurement documents.

(14) Review all procurement technical datafrom DAs for uniformity, adequacy, completeness, andcontinuity.

(15) Provide engineering services incident toproduction, including preproduction design review forproducibility, value engineering studies, and technicalguidance on pilot production design validation.

(16) Provide Procurement Data Packages(PDPs) to the Contracting Office for componentprocurement.

(17) Develop the Configuration IdentificationProcurement Planning Sheets (CIPPS).

(18) Perform configuration audits of itemsunder procurement.

(19) Prepare listings of equipment used duringacceptance inspections and review gage designs foraccuracy in accordance with internal requirements.

(20) Manage configuration control of newitems in the low rate initial production program inorder to validate accuracy of technical data prior tofull production.

(21) Participate in pre-award surveys, post-award conferences, and product oriented surveys.

(22) Participate with the DAs in analyses andinvestigations of major malfunctions, and recommendcorrective actions to the PM.

(23) Manage and maintain the ordnance gageprogram.

(24) Ensure that MlL-STD-1168B standardsare complied with in ammunition lot numbering and inpreparation of ADCs by all activities engaged in futureacquisition and maintenance of surface ammunition.

(25) Provide detailed instructions for the cor-rect use of interfix numbers, sizes of ammunition lots,data card content, and distribution to all activitiesconcerned for new procurement and maintenance ofsurface ammunition.

d. AEA Budgeting and Funding.

(1) Budget and funded by the PM for produc-tion engineering. PAN-MC funds are programmedannually for production engineering for each typesubhead scheduled for procurement. Upon Congressio-nal budget approval, funds are allocated by the PM tothe AEA on Work Request documents.

(2) Budgeted and funded by the PM formalfunction investigations. O&MN funds under the



3-2-4

budget line entitled Maintenance Support are budgetedannually based on AEA-projected requirements. UponCongressional approval, funds are allocated by the PMto the AEA on Work Request documents.

3.2.2.3 Systems Integration Agent (SIA).

a. The SIA is the primary engineering activityresponsible for coordinating the engineering efforts inone area with the other two, to ensure compatibilityand interoperability. The three areas are:

(1) Gun ammunition.

(2) Gun systems, including ammunition han-dling system.

(3) Fire control systems.

b. Specific SIA Engineering Responsibilities:

(1) Identify and ensure ballistic compatibilitybetween ammunition sub-assemblies.

(2) Determine interface requirements to pro-vide ballistic compatibility between the ammunition,gun, and fire control systems.

(3) Advise the PMs of interface problems andrecommend solutions.

(4) Review all gun ammunition lot acceptanceand First Article Tests (FAT) to quantify the contribu-tion of ammunition related errors to total gun weaponssystem performance.

(5) Review gun ammunition deviations, andengineering change proposals for their impact onballistic compatibility and system performance.

c. SIA Budgeting and Funding. Budgeted andfunded by the PM for production engineering and forproduct improvement support. PAN-MC funds areprogrammed annually for production engineering foreach type subhead scheduled for procurement. Prod-uct improvement funds are included only for specificitems as appropriate (e.g. 5”/54 ammunition). UponCongressional budget approval, funds are allocated bythe PM to the SIA on Work Request documents.



3-3-i

CHAPTER 3.3

Procurement

Table of Contents


3.3.1 Procurement 3-3-1

3.3.2 Procurement Responsibilities 3-3-1

3.3.3 Full Scale Production/Limited Production 3-3-2

3.3.4 Procurement Plan 3-3-3

3.3.5 Military Inter-Departmental Purchase Requests (MIPRs) 3-3-5

3.3.6 Procurment Ammunition Army (PAA) Appropriation 3-3-5

3-3-7 Contract Award 3-3-5

3.3.8 Procurement Status 3-3-6



3-3-1

CHAPTER 3.3

Procurement

3.3.1 Procurement.

3.3.1.1 General. Procurement is under the manage-ment control and policy guidance of the ProgramManagers (PMs), and is the product of the planning,programming and budgeting cycle, and the require-ments determination process.

3.3.1.2 Line Item Requirements. The surface am-munition line item requirements incorporated into theProgram Objective Memorandum (POM)/Program Re-view (PR) process and into the subsequent phases ofthe budget evolve from the acquisition objectivesmandated by the annual Office of the Secretary ofDefense (OSD) and Chief of Naval (CNO) guidance.These requirements are qualified by constraints infunding, production capabilities, altered priorities, orother changes. Also, the computed buy quantities aresometimes spread over a longer period of time thaninitially planned in order to maintain a “warmproduction base.” They may also be deferred to takeadvantage of economical buy opportunities throughconsolidation of procurements. Because of these andother inhibitors, a variance often exists between theacquisition objectives and the objectives resulting fromthe budget cycle for which funding ultimately isapproved and allocated.

3.3.1.3 Programmed Procurement. The programmedprocurement is the “buy” quantity of items required to:

a. Introduce new or replacement items.

b. Fill combat material requirements in supportof mobilization scenarios in the Secretary of Defense(SECDEF) guidance.

c. Secure component support of end item main-tenance.

d. Support the major claimants projected peace-time expenditures.

3.3.1.4 Buy Quantity Resolution. During the periodfrom POM initiation through Congressional approvaland the final allocation of funds, funding requirementsfor material support undergo changes before the

procurement buy quantity is resolved. The approvedand funded procurement quantity represents that por-tion of the total item requirement which cannot besatisfied from existing assets by maintenance actionsor reclamation.

3.3.2 Procurement Responsibilities.

3.3.2.1 Resource Sponsor.

a. Provides resource management, policy, over-all monitoring, and direction for the use of funds inprocuring ammunition.

b. Provides coordination with other resourcesponsors in developing a consolidated budget submit-tal to best meet the needs of the Fleet.

c. Oversees the development, coordination, andjustification of the requirements stated in the POMand budget submittals.

3.3.2.2 Program/Project Manager (PM).

a. Provides program management, policy, over-all monitoring, and direction for the procurement of ammunition.

b. Develops, coordinates, and justifies the re-quirements stated in the POM and budget submittals.

c. Provides peacetime, surge, and mobilizationrequirements and priorities to the Single Manager forConventional Ammunitions (SMCA).

d. Approves and submits to the SMCA, theNavy’s Conventional Ammunition Plan (CAP) threetimes (May, August, December) annually for SMCA-assigned items, to coincide with the Services andSMCA budget development. Also submits an updatedexecution year requirements for generation of a one-year execution price list (September). Due to thelength of time required for the SMCA to process aCAP submit and return an updated price list the CAPsubmits are actually used for the following budget.For example, the May CAP submit is about the sametime the Program Office is preparing the Navy Comp-



3-3-2

troller (NAVCOMPT) (Services) Budget. However,the prices used are from the CAP submitted in theprevious December because the May CAP priceswon’t arrive until after the NAVCOMPT budget isdue. The CAP prices are actually used for the BudgetEstimate Submission (BES) (also known as the OSDBudget) in the September time frame. Similarly, theJuly CAP submit results in prices that will be usedfor the President’s budget.

e. Develops a procurement shopping list basedon requirements and asset data.

f. Allocates, as appropriate, Procurement ofAmmunition Navy and Marine Corps (PAN-MC)funding for procurement and production.

g. Provides funds by Military InterdepartmentalPurchase Request (MIPR) to support requirements forsupply, purchase, production, and first destinationtransportation of ammunition.

h. Allocates, as appropriate, Operations andMaintenance, Navy (O&MN) funding and work re-quest orders to accomplish engineering functions inci-dent to procurement.

i. Reviews, and when appropriate, approvescontractor requested or recommended deviationswhich are classified as major or critical.

j. Makes decisions as to procurement of eco-nomical buy quantities.

k. Provides guidance to the Acquisition Engi-neering Agent (AEA) and Design Agents (DAs) con-cerning their engineering responsibility for productionitems.

l. Arbitrates and resolves engineering and tech-nical disagreements between the AEA and the cogni-zant DA.

m. Reviews critical or interfacing EngineeringChange Proposals (ECPs) affecting items in produc-tion.

n. Initiates Low Rate Initial Production (LRIP)buys for new or improved ammunition prior to fullproduction procurement.

o. Procures some Navy developed items such asspecialized small arms ammunition on commercialcontracts through Naval Surface Warfare Center Divi-

sion (NSWCDIV) Crane or elsewhere within theNavy.

3.3.2.3 Design Agent (DA). DAs are assigned engi-neering and design responsibilities. This includesdevelopment and maintenance of design documentationfor new or modified ammunition items (includingsupport equipment) under their respective cognizances.Specific responsibilities and assignments are in Section3-2 of this Volume.

3.3.2.4 Acquisition Engineering Agent (AEA). TheAEA is assigned engineering responsibilities for pro-curement and production. Specific responsibilities andassignments are in Section 3-2 of this Volume.

3.3.2.5 Systems Integration Agent (SIA). The SIA isassigned engineering compatibility responsibilities.Specific responsibilities and assignments are in Sec-tion 3-2 of this Volume.

3.3.2.6 Naval Operational Logistics Support Center-AMMO (NOLSC-AMMO), Mechanicsburg, PA.

a. Upon request from the PM provides destina-tions and MILSTRIPs for PM MIPRs to the SMCA.

b. Collects, records, and maintains the supplydata essential to the procurement process.

c. Tracks and monitors procurement deliveriesto inventory in Ordnance Information System-Whole-sale (OIS-W) Procurement, Renovation, and Produc-tion (PRP) module.

d. Generates MILSTRIP prepositioned materialreceipt cards to alert consignee activities of shipmentsdue-in from military and contractor production facili-ties.

3.3.3 Full Scale Production/Limited Production.

3.3.3.1 Transition to the SMCA. Much of the Navy’sordnance is developed by the Navy and procured bythe SMCA. Because of the user/SMCA relationship,DoD 5160.68 of 22 December 2003, requires closecollaboration between the PM and the SMCA through-out the development stages of an ammunition item.The purpose of such collaboration is to establish thegroundwork for the transitioning of the item to SMCAfor full scale production after development andcompletion of Technical Evaluation (TECHEVAL) andOperational Evaluation (OPEVAL). Transition Plansare developed in accordance with DoD 5160.65-M of 1



3-3-3

April 1989. New items which achieve baseline stabil-ity and which can be supported by fully developedtechnical and configuration documentation are certifiedby Milestone Decision Authority (MDA) as Approvalfor Full Production (AFP). AFP is provisionallyassigned as a means of obtaining an approval for alimited quantity of items when all operational orperformance requirements have not yet been achieved.Pending such, these items are not transitioned to theSMCA. In some instances after AFP, the PM mayelect for technical reasons, or in consideration ofbudget constraints, not to enter immediately into fullscale production. In such cases the item is procured ona Low Rate Initial Production (LRIP) basis to verifyproducibility. LRIP can be initiated either prior to orafter transition to the Single Manager, based on PMjudgement. When the new item is transferred andSMCA institutes LRIP on behalf of the Navy, closecollaboration between the SMCA and Navy is main-tained.

3.3.3.2 Other Procurement Sources. Although pro-curement of the Navy’s ammunition needs for SMCA-assigned items is the responsibility of the SMCA, thePM will arrange for procurement of limited quantitiesof Navy developed items at Navy activities onoccasion. This usually occurs in cases where smallquantity procurement by SMCA is not cost effective.These procurements will be executed by a NSWCDIVCrane or other Navy activity commercial contract asdirected by the PM.

3.3.4 Procurement Plan.

3.3.4.1 Conventional Ammunition Plan (CAP). TheNavy must provide the SMCA their planned require-ments for the Future Years Defense Program (FYDP)and their updated execution year requirements forgeneration of the one-year Execution Price List. Thisplanning information will be submitted by the PM viathe Joint Munitions Command (JMC). Requirementsinclude prior year, current year budget year one,budget year two and the following four years.

3.3.4.1.1 Timing of Conventional Ammunition Plan(CAP) Submission. CAP submissions for all FYs are pro-vided three times annually. The Navy’s requirements in-formation (other than execution requirements) will agreewith their budget line submissions to OSD Comptroller(OSD (C)). Since there is a two-year budget cycle or bien-nial budget, the FYs to be entered changes with every otherMay submission. In order to avoid confusion, for eachcycle a call letter will be disseminated to the Services, withguidance showing the cycle name, the fiscal years for

which planned requirements are needed and the due date ofthe Services requirements. The Navy must also provide anupdated execution year requirements in September for de-velopment of the one-year Execution Price List.

a. The May submission reflects the Services ini-tial requirements for the next budget year. The pricesreceived from this submit will be applied to the BES(Aug/Sep timeframe).

b. The July submission reflects changes to theServices budget requirements and is the basis forpreparation of the President’s Budget (PRESBUD) inthe December/January timeframe which is forwardedto Congress.

c. The September submission. Reflects updatedone-year requirements for the upcoming executionyear. These requirements are the basis for the Execu-tion Price List, which is used in the generation offunded requirements forwarded to the JMC.

d. The December Submission reflects changesto the Services budget after OSD review. Thesechanges will be included in the PRESBUD submis-sion in January/February timeframe. The results ofthis submission are used as part of the President’sBudget Back-up Book, which is forwarded to Con-gress.

3.3.4.2 Procurement Planning Meeting. Typically inApril each year, prior to the May CAP submittal, theAEA convenes a procurement planning meeting withthe SMCA PM, and NOLSC-AMMO. The purpose ofthis meeting is to review and analyze each line itemprojected for procurement, define the technical datarequired, identify potential problem areas, develop andfinalize the Configuration Identification ProcurementPlanning Sheet (CIPPS), and achieve consensus onprocurement strategy. In times of declining numbers ofprocurements, this process has been completed byexchanging and commenting on the CIPPS rather thanholding a formal meeting.

3.3.4.3 Funding Risk Assessment. The PM’s sub-mittal of the May CAP represents the programmedquantities currently identified in the POM or PR. Itreflects the pricing information and other data pro-vided earlier to the PM by the SMCA or obtainedduring the procurement planning meeting. The MayCAP also indicates by item the level of risk associatedwith the funding proposed for the budget and follow-ing two fiscal years. These levels are:



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a. Low risk - the item is a requirement forwhich there is little or no doubt funding will be re-ceived.

b. Moderate risk - the item is a requirement forwhich there is an even chance of receiving funds.

c. High risk - the item is a requirement forwhich there is doubt that funding will be received.

3.3.4.4 CAP Supplemental Documents. Two impor-tant documents are provided to the SMCA to supple-ment the information in the May CAP: the CIPPS forend item related components, and the ProcurementData Package (PDP). Both the CIPPS and PDP aresubmitted to the SMCA early in the procurementprocess to enable timely solicitation, leading to formalaward of contract the following fiscal year.

3.3.4.5 SMCA CAP Response. The May submissionrequires all pricing information and support costrequirements and the CAP from the customer. TheAugust Submission requires the CAP from the custom-er and the call letter. The September submissionrequires an updated CAP from the customer ordirection to use the August submission as a baseline.The December submission requires the CAP from thecustomer, the call letter and incorporates directedProgram Budget Decisions (PBDs) to include inflationindices. The SMCA response includes:

a. Aggregating all Service Requirements. Aconsolidated price list will show levels of risk as-signed by the Services, the prices for the current fis-cal year, budget year one and budget year two. Aprice list will be published each cycle. The price listwill also reflect dollars for support cost only require-ments.

b. Customer Impacts. Provide in writing as soonas possible, any information that may impact thePM’s planned acquisitions or deliveries. Examples ofthese impacts include: production problems affectingdeliveries; product improvement programs that maycause delays; development of a backlog in deliveriesthat could prevent delivery within the funded deliveryperiod; decisions affecting the production base, suchas closing a line or one time or final buy of compo-nents; or any other situation that impacts the custom-er’s delivery dates, funding or budgeting.

c. Budget Support Documents. Develop budgetsupport documents (P-5, P-5a, and P21) and furnishthem to the customer via the internet protocol using

the NIPRnet or electronically, within 30 days of thedate all required information is received. The custom-er should expect delivery as shown on the P-21 deliv-ery schedule. If this is unsatisfactory, the customercan request a change by separate correspondence.

3.3.4.6 Production Schedule (P-21). This exhibit isproduced by the JMC. Primary point of contact is theproduction manager for the commodity team in theJMC. The P-21 is published on a password protectedwebsite. It displays the monthly delivery schedule forall undelivered prior year orders, and current year,budget year and first program year orders. Also shownare procurement lead times and manufacturer’s data.Lead times vary from item to item and are based onthe developing contractor, engineering, like item pro-curement, history and expected date of funding (nor-mally 1 October of the fiscal year). The delivery orderschedule is normally based on the component havingthe longest procurement lead time. This item is calledthe pacing component. The manufacturer’s data in-cludes the name, location and production rates forcurrent and planned manufactures.

3.3.4.7 Procurement History and Planning (P-5a).Input for this exhibit is provided by the productionmanager and completed by the pricing analysis in thecommodity teams. It is checked and published on apassword protected website by the Operations andAssessment Team of the JMC. The ProcurementHistory and Planning breakout is modeled after theFour Year Ammunition Cost Analysis and requires theprior year (or last actual procurement year), currentyear, biennial budget year one and biennial budgetyear two data. The prior year can differ between theAmmunition Cost Analysis and the Procurement Histo-ry and Planning. If there is no requirement for theprior year on the Ammunition Cost Analysis, thatcolumn will be blank. If the column is blank, the prioryear on the Procurement History and Planning mayreflect a previous year’s program information not toexceed three years prior.

3.3.4.8 Cost Analyses (P-5). This exhibit displays theprogram cost breakdown and is submitted to theServices. It is also published on the same passwordprotected website as the P-21 and P-5a. It consists of alocal use cost analysis worksheet and a four year costanalysis. The local use worksheet provides a costanalysis for all elements of the end item for the eightyear period shown in blocks a-h of the CAP form. Thecost categories on the Ammunition Cost Analysisexhibit represent a number of elements that must betailored to adequately depict the ammunition item. The



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categories include hardware, production support, andnonrecurring costs. From the worksheet, a four yearAmmunition Cost Analysis is produced and sent to thecustomer. The four year cost analysis provides allelement costs of the end item for prior year, currentyear, budget year one, and budget year two as shownin blocks a-d of the CAP form.

3.3.4.9 Integrated Conventional Ammunition Procure-ment Plan (ICAPP). The ICAPP displays all theServices current and planned buys through the FutureYear Defense Plan (FYDP) along with information onthe status of undelivered orders,production rates andplanned mode of acquisition. The ICAPP database willinclude information about all conventional ammunitionassigned to the SMCA by DoDD 5160.65 of 14 April2004, (including non-transitioned items) which areprocured by the Army. The Services and the OSDbudget analyst use this information in their resourceplanning and allocation processes. A complete ICAPP,based on the President’s Budget, is published viacompact disk (CD-ROM), in February/March and isused to begin the next planning cycle, which reflectsthe president’s Budget. This analysis is used to beginthe next planning cycle. Updated ammunition require-ments summaries (partial interim ICAPPs) are pro-vided for the POM (Service Budgets) and the BESsubmissions, also on CD-ROMs. An ICAPP, base onthe President’s budget, which includes budget yearsonly, is published in February/March, via the NIPRnet.

3.3.5 Military Inter-Departmental Purchase Re-quests (MIPRs).

3.3.5.1 Funded Procurement MIPRs. After thePPBS stages, the actual procurement of ordnancebegins with Congressional approval of the budget andsubsequent allocation of funds to NAVSEA by theComptroller, DoN. After receiving funding throughSTARS, the PM prepares a MIPR for submission toSMCA which cites the signal and fund codes and theappropriation. The SMCA does not commit, obligate,or expend funds against any MIPR that exceeds thetotal funds committed on the MIPR. Further, theSMCA accepts only those MIPRs whose funds can beobligated within the life of the appropriation.

3.3.5.2 MIPR Acceptance/Rejection. Within 30 daysafter receipt of a funded MIPR, the SMCA formallyindicates acceptance or rejection by execution of aDD 448-2, Acceptance of MIPR. If it becomes knownafter notification of acceptance that the price may notbe maintained, the SMCA will resolve the pricedifferential with the PM.

3.3.6 Procurement Ammunition Army (PAA) Ap-propriation. Per PBD 432, FY 99 and later customerorders are to be processed through the PAA appropri-ation on a reimbursable basis. Orders are priced atactual procurement cost.

3.3.6.1 Funded Reimbursable Authority (FRA).Based on the President’s Budget Submission of re-quirements, the JMC requests FRA to cover allnon-Army requirements. During the April/May time-frame, JMC revalidates the customer’s requirementsand requests the appropriate level of FRA from higherheadquarters.

3.3.6.2 Obligation of Orders. No procurement canbe made in advance of a funded order. Customer fundsare obligated upon acceptance as reimbursable Econo-my Act Orders; however, obligation is limited by thelife of the customer funds. In either case the JMCmust provide or enter into contract to provide therequested goods or services before the obligation lifeexpires. At the end of the appropriation life (threeyears for procurement appropriations) funds are ad-justed down to match actual obligations and unobli-gated funds are returned to the customer. Disburse-ments may not be made after the appropriations close(8 years for procurement appropriations).

3.3.7 Contract Award.

3.3.7.1 Pre-award Survey. Based on the advancedplanning data contained in the CAP, PDPs, and otherdocumentation, JMC prepares bid packages and initi-ates contract solicitation. After receiving the fundedMlPRs JMC proceeds to award of contract. If on-siteinspection of prospective contractors is necessary, thePCO may arrange a pre-award survey of the contrac-tor’s facilities and equipment. The Navy AEA and DA(or other Service representative if the Navy is not thedeveloping Service) will assist and advise the PCO asto the technical capability of the contractor.

3.3.7.2 Post-Award Conference. The PCO, the Con-tract Administration Officer (CAO), the contractor, orthe PM/AEA may request and participate in post-award for first time award to a contractor. This maybe requested if difficulties were experienced in pre-vious procurements of the item, or there exists a highrisk of failure due to item complexity, urgent deliveryschedule, or technological considerations.

3.3.7.3 Quality Assurance Letter of Instruction(QALI). After contract award, the PCO invites therequiring Service and CAO to participate in quality



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assurance conferences. Prior to production, the AEAhas responsibility for ensuring that the contractor andCAO understand and are capable of complying withthe requirements for quality assurance and on-lineinspections. To ensure this understanding, the AEAprepares and submits to the JMC the Quality Assur-ance Requirements (QAR) applicable to the procure-ment article. From this document, the JMC preparesthe QALI. The requirements in the QALI are forguidance of the CAO and specify mandatory samplinginspection and test instructions. In-conference orienta-tion and familiarization instructions regarding thequality control requirements of the contract are pro-vided to CAO personnel having on-site review author-ity. This meeting provides opportunity for exchanginginformation regarding existing or anticipated problems.

3.3.7.4 Government Load, Assemble, and Pack(LAP). Explosive, incendiary, and dangerous ammuni-tion items are usually not delivered by the contractorfully loaded or assembled except for small armsammunition and some pyrotechnic/demolition items.JMC contracts for the various components that consti-tute the end item and arranges for their explosive LAPat specified Army Ammunition Plants or JMC activi-ties such as Crane, or McAlester.

3.3.8 Procurement Status.

3.3.8.1 Procurement Cancellation. When all or anypart of the quantity requested in a MIPR is to becanceled, the PM, will notify the JMC who advisesconcerning termination charges. If, after examining thecharges, the PM determines that termination action isto be pursued, the PM will submit an amendment tothe MIPR directing termination.

3.3.8.2 MIPR Reviews. In accordance with a mutual-ly agreeable schedule, JMC and the PM conductperiodic MIPR reviews. These reviews address, but arenot limited to, funding, delivery, production, schedul-ing, price changes, billing and payments, lead time,program projections, and processing methods. Billingsfor both advance and progress payment requests aresubmitted by JMC on SF 1080. All significant changesthat affect the contents of a MIPR must be processedby the PM as formal MIPR amendments (DD Form448). These include changes in quantity, prices, funds,National Stock Number (NSN), part or drawingnumber, specification, delivery schedules, and engi-neering changes. No formal MIPR amendments arerequired for nontechnical, minor, or administrativechanges such as shipping or destination, or clarifica-tion of item description or component entities. These

are communicated to the JMC by mutually acceptablemeans.

3.3.8.3 Procurement/Renovation/Production (PRP)File. As Inventory Manager (IM), NOLSC-AMMOmaintains in OIS-W a central PRP status file forordnance items. This file provides a mechanizedrecord of internal and external procurement andmaintenance actions from the time a MIPR or procure-ment document is issued until material delivery hasbeen completed. For external procurements, NOLSC-AMMO relies on the PM to provide procurementaction status as it occurs to maintain an accurate andcomplete database. The file record’s item nomencla-ture, DODIC/stock number, applicable funding andMILSTRIP numbers, applicable procurement documentnumbers, and delivery schedules are loaded in the filewhen MIPRs are accepted and when contracts areawarded. NOLSC-AMMO therefore has documenttracking capability which enables it to keep up-to-datestatus on each procurement delivery, in OIS-W.

3.3.8.4 Procurement and Production Status (PPS)File. The Navy AEA maintains a status file whichreceives information from the PRP file at NOLSC-AMMO, as well as additional information entered bythe AEA personnel on production actions and prob-lems. This file provides more detailed information onproduction status for the PM and AEA to properlymanage their procurement programs.

3.3.8.5 SOSMA Form 38s. DoD 5160.65-M requiresJMC to furnish monthly delivery status reports onSOSMA Form 38s to the requiring Service. Thesereports show the progress of items being acquired orproduced by the SMCA. These reports contain therequirements schedule, current forecast schedule, quan-tity currently available, and the cause of delay orslippages. These forms are sent by the supply person-nel in the JMC to NOLSC-AMMO and AEA for entryinto the PSS.

3.3.8.6 Prepositioned Material Receipt Cards(PMRCs). NOLSC-AMMO’s loading of deliveryschedules from the Form 38s into the OIS-W procure-ment files enables the establishment of due-ins and thegeneration of PMRCs to prospective receiving fieldactivities. For items not being delivered by the SMCA,NOLSC-AMMO relies on the activity assigned by thePM to provide the required delivery schedules forentry into OIS-W. New PMRCs are forwarded when-ever delivery schedules are changed or updated. Thisis often the only advanced notice of incoming assets



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that an activity gets for receipt and storage personnelworkload planning.

3.3.8.7 SOSMA Form 45s. The JMC also utilizesSOSMA Form 45s. This form shows the actualproduction schedules at the JMC and contractorfacilities. These forms are available to the NavyLiaison Office (NVLNO) at Rock Island, IL, NavyPM, and AEA to obtain additional information notcontained on the SOSMA Form 38.



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CHAPTER 3.4

Configuration Management

Table of Contents


3.4.1 Configuration Management 3-4-1

3.4.2 Configuration Identification 3-4-1

3.4.3 Configuration Control 3-4-6

3.4.4 Configuration Status Accounting (CSA) 3-4-8

3.4.5 Configuration Audits 3-4-10



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CHAPTER 3.4

Configuration Management

3.4.1 General.

3.4.1.1 Configuration Management. Historically DoDhas had a military standard addressing the require-ments for configuration management. The latest con-figuration management directions were consolidated inMIL-STD-973. With the philosophy of acquisitionreform to reduce the level of prescription on howthings should be accomplished, this standard has beencancelled without replacement. DoD has adoptedANSI/EIA-649 and has published MIL-HDBK-61 asguidance for configuration management. The programoffice has issued a 2T ammunition specific, configura-tion management plan. Configuration managementremains an all-important discipline in the era ofacquisition reform.

a. It integrates the engineering technical and ad-ministrative actions required to identify, document,maintain, and monitor the functional and physicalcharacteristics of an item during its life cycle.

b. It controls and records the status of allchanges proposed to Configuration Items (CIs) andtheir related documentation.

c. It facilitates continuity and direction duringdesign, production, operation, and maintenance to en-sure that the item is what it was meant to be through-out its life cycle, and that all supporting technicaldocumentation represents that item.

3.4.1.2 Configuration Evolution. The configurationof an ammunition end item is determined duringdesign, derived and proven during development, estab-lished during production, and maintained during opera-tion and support. The concept is simple; implementa-tion is time-consuming, complex, and interative. Theevolution of a typical CI usually involves the follow-ing repetitive sequence of events:

a. Identify what is to be produced.

b. Operate and test.

c. Control changes.

d. Re-identify.

e. Produce.

f. Control changes.

g. Re-identify and modify.

h. Operate and test.

i. Control changes.

j. Re-identify and modify.

k. Operate and maintain concurrently with fol-low-on production to end of life cycle.

3.4.1.3 Configuration Regulation. The basic guid-ance for configuration identification and managementin the Navy is contained in MIL-HDBK-61. Configu-ration control of in-service ammunition items, althoughdiscussed in Section 4 of this volume, predominantlyrefers back to this Chapter. The steps of configurationmanagement will be covered starting with thoseinvolved in item identification, then item control, itemstatus accounting, and item audit.

3.4.2 Configuration Identification. The purpose ofconfiguration identification shall be to incrementallyestablish and maintain a definitive basis for controland status accounting for a CI throughout its lifecycle. Item identification begins with the generation ofthe components of the Procurement Data package(PDP).

3.4.2.1 Procurement Data Package (PDP). The PDPis the technical documentation submitted to the JointMunitions Command (JMC) or other procuring officefor use by the Procuring Contract Officer (PCO).Other procuring offices utilized include Naval SurfaceWarfare Center Division (NSWCDIV) Crane, NavalOperational Logistics Support Center (NOLSC-AMMO), and Army Research, Development and Engi-neering Command (ARDEC). The PDP componentsare as follows:

a. Technical Data Package (TDP). All docu-ments prepared by the Design Agent (DA) necessary



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to identify the technical aspects of the product. Thesedocuments include required drawings, performancespecifications and Military, Federal, and Joint Servicespecifications and standards, etc. It also includes anAutomated Data List (ADL), a top level documentwhich list all applicable documents, exceptions tothese documents and additional requirements.

b. Contract Data Requirements List (CDRL).The CDRL is a listing prepared by the AcquisitionEngineering Agent (AEA) and/or procuring office toidentify the required data item deliverables from thecontractor.

c. Quality Assurance (QA) Provisions. Theseprovisions identify the requirements for a quality pro-gram, statistical process control, supplemental qualityassurance provisions and survey, audit and test re-quirements. The survey and test requirements includePre-Award Surveys (PAS), Post-award QA confer-ences, First Article Testing (FAT), and any other con-ference, survey, audit, or review requirements.

d. Acceptance Inspection Equipment (AIE).Lists equipment such as a tabulation of gages re-quired for certification and acceptance of ammunitionitems.

e. Configuration Management Plan (CMP). TheCMP describes the processes, methods, and proce-dures to be used to manage the functional and physi-cal characteristics of the assigned CI.

f. DD-254 Security Classification Require-ments. These requirements contain security classifica-tion of CI and associated requirements. Refer to Sec-tion 7-2 of this volume for further explanation.

g. Military Interdepartmental Purchase Request(MIPR) standard clauses. (If procured by another ser-vice).

h. Aperture Card Inventory List (optional).

i. PDP Checklist/Return Receipt.

3.4.2.2 Technical Data Package (TDP). Preparationof the TDP is a prerequisite to obtaining Approval ForProduction (AFP) and is accomplished for all develop-ment items. The standardization of documentation isessential for the transitioning of items to SingleManager Conventional Ammunition (SMCA) and fordeveloping and maintaining the PDPs to supportprocurement. The TDP will contain those drawings,

standards, and specifications needed to manufacture,package, ship, maintain or renovate, and accept a CI.The technical data in the TDP is incorporated into theAutomated Configuration Management Data System(ACMDS) and upon Approved for Full Production(AFP) defines the product baseline. Changes from theproduct baseline are substantiated by approved waiv-ers, deviations, Engineering Change Proposals (ECPs),and Automated Data List (ADL) change notices.

3.4.2.3 Automated Data List (ADL). The Acquisi-tion Engineering Agent (AEA), in coordination withthe DAs, prepares an ADL which identifies anddescribes the production configuration of each itemintroduced into the ammunition supply system. EachADL contains a listing of its pertinent drawings,specifications, standards, provisions, and requirementsused as the current baseline for procurement, loading,and maintenance. The ADL also identifies the ADLsof each of the item’s subassemblies, support equip-ments and test sets. Each ADL is uniquely numberedto apply to one specific line item configuration. Thisnumber is the same as that assigned to the assembly ortop level drawing for the item, if possible. The basicnumber is suffixed for each modified version and isrecorded in ACMDS. This number is used as referencethroughout the procurement process and is cited in theprocurement contract and on MlPRs. It is alsoincluded in the PDP. In addition to its use as a controldocument, the ADL provides basic technical data forthe formulation of ammunition data cards.

3.4.2.4 Classification of Characteristics (CC). A CCanalysis is conducted by the DA and an appropriateCC code assigned to appropriate physical and functioncharacteristics of an ammunition item. The CC codecategorizes the characteristic as critical, major, orminor and is cited on each drawing, specification, orother relevant documents, as follows:

a. Critical - C1 through C99.

b. Major - M101 through M199.

c. Minor - 201, 202, etc.

Supplementary symbols may be assigned which suffixthe Classification Code to convey specific informa-tion (e.g., E - requires exceptional testing or inspec-tion, L - potentially hazardous, etc.). CC codes assistin decision making by reducing judgment demandsand providing visible indicators useful in determiningthe disposition of nonconforming material. The codesare a useful tool in the decision process for approving



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or disapproving contractor recommended deviations.DoD-STD-2101, Classification of Characteristics, isthe source of information concerning their assignmentand use in configuration management.

3.4.2.5 Mark/Mod Assignments. Navy designed am-munition items and components are generally identi-fied by nomenclature followed by a Mark (MK) andMod number, for example:

Flare, Decoy MK 48 Mod 0Flare, Decoy MK 48 Mod 1

MK 48 Mod 0 is assigned to the first approved de-sign with a unique set of physical and performancecharacteristics. Subsequent improvements or designchanges not affecting performance characteristics willresult in a modification which is identified as Mod 1.Army items are identified by a similar system ofnomenclature and alphanumeric numbering. For ex-ample:

Charge Demolition M5A1

M5 is the first approved design in the demolitioncharge family with characteristics sufficiently differ-ent from the M4 design. The A1 is the first modifica-tion.

3.4.2.6 Lot Control. Ammunition items vary incomplexity from a simple 2-lb cast block of TNT in acardboard/metal container with a well for a blastingcap to the guided projectile that has several explosiveand electronic components that must function inconsonance. Primary and secondary components areproduced by a number of commercial manufacturersunder diverse conditions and with various approveddeviations. The assignment of lot numbers and controlof component homogeneity during production is com-partmentalized by manufacturer production line andproduction period for all components and the end itemproduced. Lot data records provide the identificationof these compartments (lots, lot strata) for trackingand control of any given lot throughout its life cycle.Some ordnance items are mass-produced as low-cost/high-volume material because they contain a minimumof parts or components. For example, cartridge, caliber9MM, M882, consists of a bullet, a cartridge case, aprimer, and smokeless powder. These components andthe assembled round are produced in large quantitiesby automatic equipment at a rapid rate under constantproduction conditions. The probability is that largequantities are homogeneous. New lot numbers neednot be assigned except for a change in component

supplier, contract termination, or completion of amonth’s production run. Lot sizes can run as high assix-digits. Lot limiting factors for a complex item withlow-to-moderate rate of production, such as gunammunition, would result in lot sizes that wouldseldom exceed 10,000 rounds. For ships’ combatreadiness risk mitigation, arbitrary maximum lot limitshave been imposed regardless of homogeneity forcertain gun ammunition items.

TYPES ROUNDS

76MM Fixed Cartridges 5,0005” Propelling Charge 5,0005” Projectiles HE 1,0005” Illuminating Projectiles 5005” PBXN 106 100-2000

3.4.2.7 Lot Numbering Systems. As the originalmilitary agencies for design, development, and produc-tion of ammunition, the Navy and Army developed lotnumbering systems to accommodate their own proce-dures for control of the various ammunition commodi-ties. In the interest of interservice support in ammuni-tion supply and management, particularly in theexchange of reclassification actions because of mal-functions of common items, lot numbering was stan-dardized in MIL-STD-1168.

a. Items with lot numbers dating back to 1944are still in stock and acceptable for use after minormaintenance. Expenditures of ordnance from 1944 todate have reduced many older lots to remnant quanti-ties. By 1978 all naval activities engaged in ordnanceprocurement or production complied with MIL-STD-1168. Phaseout of the old style lot numbers byattrition and conversion during major maintenance isa long-term process. Management and control of ord-nance will require backup data and an understandingof both systems.

b. U.S. Navy Old Style Lots.

(1) For gun ammunition, fixed rounds, sepa-rated rounds (projectiles and propelling charges), andseparate loading rounds (projectiles, bag propellantsections, and primers) the lot structure is as follows:

BE-244-C-68

(a) Prefix. A two-letter prefix is used fornew ammunition. In the example, the letters BE arepermanently assigned to a caliber and type of gun



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ammunition item of issue, in this case a 5”/38 Projec-tile AAC with a Mechanical Time Fuze (MTF) MK50 or MK 349 installed. The use of a prefix as a partof gun ammunition lot numbers was considered nec-essary as a double check for nomenclature and DoD-IC/NALC (as in a message garble) and because gunammunition items of issue were not assigned com-plete round Mark and Mod designations prior to1978. The prefix is expanded to three letters by theaddition of an “R” to signify a renovated lot (e.g.,BER-1-H-74).

(b) Lot Sequence Number. A numberfrom 1 to 9999 assigned in sequence for each lotproduced. The numbers begin with 1 for the first lotproduced in the year production begins. Lots startedon or after 1 January of the next year revert back tolot 1.

(c) Manufacturer’s Identification. A one,two, or three letter identification of the activitymanufacturing or renovating the item. In the example,“C” is Crane Army Ammunition Activity (AAA).

(d) Calendar Year of Production/ Reno-vation. A two-digit number to identify the year inwhich production or renovation of the ammunition lotwas started.

(2) Pyrotechnics, Demolition Items, andFuzes. USN designed and produced pyrotechnics,demolition items, and gun ammunition fuzes generallyare identified by a MK and MOD permitting theelimination of the prefix. These lot numbers arestructured as follows:

206-CRA-69 or 206CRA-0769 or 206-CRA 07/69

(a) Lot Sequence Number. A number be-ginning with 1 when production starts. In some cases(in-house production) the first lot started after thenew year reverts back to lot 1. In other cases (com-mercial manufacture), the sequence number continuesfor the length of the contract and add-on procure-ments. Numbering continued, provided there was nobreak in production.

(b) Manufacturer’s Identification. Thesame as for gun ammunition.

(c) Calendar Year of Production. A two-digit number identifying year of production or a four-

digit number, with or without a slash, identifying themonth and year of production.

c. U.S. Army Old Style Lots.

(1) The Navy uses a number of commonitems designed and procured by the Army. These aresmall arms ammunition items up to and including .50caliber cartridges, grenades, antitank rockets, rockets,pyrotechnics, and demolition and mortar ammunitionitems. Army management of ammunition initiallyrequired only the control of the manufacturer’s identi-fication and sequential numbering of lots produced.Relative age as identified in Navy lots was maintainedon master records in headquarters and available onammunition data cards in the field. These early oldstyle lots were structured containing these two ele-ments, for example:

WCC-1 0950

(2) As production quantities increased withmultiple production lines and follow-on reorders, aninterfix number was added to ammunition lot numbersto group a series of lots into homogeneous lot strata.Interfix and sequence numbers are separated by a dashas follows:

COP-4-65

(3) The combination of two or more lots ofcomplete rounds to form one lot, such as in linkingcomplete rounds of .50 caliber cartridges, was handledby inserting a “-L” after the manufacturer’s identifica-tion as follows:

RA-L-30-57 or LC-L-1-47

d. General Policies and Procedures for Navyand Army Old Style Lot Numbering Systems.

(1) Manufacturer’s (including in-house pro-duction and renovation activities) identification sym-bols as listed in MlL-HDBK-1461A were used.

(2) The Navy and Army used a system ofsuffixing lot numbers. One or two letters were addedafter the last digit in the lot.

(a) U.S. Army. The suffix indicated thata major or minor maintenance action had been per-formed on the parent lot. When the assignment of thesuffix “D” is directed by higher authority, for exam-ple, the maintenance activity must ensure that pre-



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vious maintenance actions required by suffixes A, B,and C have been performed as well.

(b) U.S. Navy. A single letter suffix in-dicated that a major or minor maintenance action, notinvolving a primary component replacement, had tak-en place. The significance of the ABC sequence isthe same as the Army system except, that a suffix“X” for X-ray examination is added to any other let-ter resulting in a two-letter suffix.

(c) U.S. Navy. For major maintenanceinvolving ammunition breakdown and replacement ofa component, the item was recertified at the sametime. Because of the recertification, a letter “R” wasadded to the caliber and type two-letter prefix result-ing in an entirely new lot number.

(d) Navy and Army. The use of dashesfor spacing between lot number elements was re-quired.

(e) Navy and Army. When maintenancehad been performed as directed resulting in the ap-plication of a suffix, a new data card was preparedfor each round processed (or the old data card ischanged) by adding the suffix and a notation that therequired maintenance had been performed. For exam-ple, the notation for the suffix “D” would be thefourth notation, following the notations coveringmaintenance actions pertaining to suffixes “A,” “B,”and “C.”

e. New Style Lot Numbering System (MIL-STD-1168B). The standardization of ordnance lotnumbering was based on the common requirements ofthe various lotting systems of manufacturer identifica-tion and sequential numbering of quantities of identi-cal items. Essential service requirements of homo-geneity grouping and age identification were addedresulting in a 13 character basic lot number. Provi-sions were then added to annotate lots by letters toindicate a nonstandard lot number or a reworked ba-sic lot. Standard lot numbers are constructed as fol-lows:

CRA78K001-415A

(1) Characters 1-3. Manufacturer’s identifica-tion as listed in MIL-HDBK-1461A. Manufacturerswith one- or two-character codes will have remainingpositions filled with dashes (e.g., P-- or PA-).

(2) Characters 4 & 5. A two-digit numericcode identifying the year of production (e.g., itemproduced in 1978 is coded 78).

(3) Character 6. A single alpha code signify-ing month production of the lot was initiated (e.g.,A-January, B-February, etc.).

(4) Characters 7-9. Lot interfix number, se-quentially from 001 thru 999.

(5) Character 10. Hyphen required for allstandard lots. For nonstandard lots or lots requiringspecial codes the hyphen is replaced by an alpha (suchas H-Hybrid Lot, M-Modified Lot, V-Overhauled Lot,see MIL-STD-1168A for a complete list of codes).

(6) Characters 11-13. Lot sequence numberfrom 001 thru 999. (The next lot produced after lot999 requires an interfix number change and reverts to001).

(7) Character 14. A single alpha charactersuffix is added after the final position to signify thebasic lot has been reworked. For lots reworked morethan once, sequential alphas are assigned. The alphasE, I, O, or X shall not be used.

3.4.2.8 Ammunition Data Cards.

a. Ammunition data cards, prepared in accor-dance with MIL-STD-1168, are used to identify thecomposition of an ammunition lot when it is initiallyproduced, or when it is modified, reworked, or re-grouped. The ammunition data card is a record of thebasic configuration of the ammunition lot, with refer-ence to documents containing the configuration de-tails. In addition to item nomenclature, NSN/DoDIC,drawing and specification numbers, lot number,manufacturer/loading activity, and quantity and dateof production, data cards identify all primary compo-nents by manufacturer, lot number, and quantity. Itbecomes a historical record when the ammunition lotis reworked by replacement of components, indicatingdates of renovations, new components, and originallot number for complete traceability.

b. Data cards contain the complete detailed lotidentification of the ammunition item and its lot his-tory. They are kept up to date at a central repositoryat the JMC for all SMCA-assigned ammunition items.In some cases a copy of the data card is found in thewaterproof protective cap of each projectile, in car-tridge and propelling charge tanks, and in packing



3-4-6

containers of multipack items. There is, however, nolonger a Navy requirement for a data card to accom-pany each ammunition item.

c. Historically. Ammunition Data Cards wereprepared on DD form 1650 made of 5x8 inch com-mercial manila tag board or equivalent. More recentlyammunition data cards are prepared using a govern-ment furnished Ammunition Data Card Program(ADCP), developed by JMC. An 8.5 by 11 inch print-out is used for hard copy distribution. The centralrepository of ammunition data cards located at theJMC has the information loaded in a computer data-base. A duplicate of the data card program with en-hanced search and print capabilities is available onConventional Ordnance Resource Portal (CORP) web-site.

3.4.3 Configuration Control. Configuration controlis the process to manage preparation, justification,evaluation, coordination, disposition and implementa-tion of proposed engineering changes and deviations toeffected Configuration Items (CIs) and baselinedconfiguration documentation. Configuration controlcontinues throughout the life cycle of the CI.

3.4.3.1 Deviations. MIL-HDBK-61A and ProgramOffice policy for Configuration Management (CM)provides guidance on procedures for processing re-quests for deviations. The handbook defines a devi-ation as:

a. A specific written authorization, to departfrom a particular requirement(s) of an item’s currentapproved configuration documentation for a specificnumber of units or a specific period of time. (A devi-ation differs from an engineering change in that anapproved engineering change requires correspondingrevision of the item’s current approved configurationdocumentation, whereas a deviation does not).

Deviations represent temporary or limited departuresfrom baseline requirements or characteristics in thedocumentation. Deviation request are classified ascritical, major, or minor based on the classification ofthe defect and must be proven as justified and neces-sary by the contractor before being granted. No devi-ation (critical deviation) having an adverse effect onsafety is approved. If a proposed deviation is recur-rent (i.e., a repetition or extension of a previouslyauthorized departure from a requirement), it is gener-ally viewed as evidence that there is either a deficien-cy in the design documentation or in the practices ofthe manufacturer. If so, review is made by the AEA

to determine the disposition of the contractor’s re-quest for deviation. If appropriate, the AEA may rec-ommend that corrective measures be taken (e.g., thatan Engineering Change Proporal (ECP) be prepared).

3.4.3.2 Request Processing.

a. Deviation content requirements must be spe-cified in applicable contract requirements includingthe Contract Data Requirements List (CDRL)/DD1423and Data Item Description (DID) of the contract. Ingeneral the contractor may use the following formatsfor requesting deviations:

(1) DD Form 1694, Request for Deviation.

(2) Contractor design.

b. The contractor submits all critical, major, andminor deviation requests to the procuring activity(JMC or Navy procuring activity) via the CAO, whomay add comments and recommendations. Copies areforwarded concurrently to the cognizant DA, the AEA,and Navy Liaison (NVLNO) for SMCA procureditems.

c. Each request for a deviation is reviewed bythe NAVSEA engineering agents designated by theProgram Manager (PM). The AEA is the action offi-cer for contractor submitted deviations and classifiesthe defect/deviation relating to in-production ammuni-tion items. The cognizant DA reviews the contractor’srequest for impact on design, performance, safety,producibility, and interfaces, and submits relevantcomments and recommendations to the AEA. Afteradditional review, that includes consideration of fac-tors such as maintainability and life cycle costs, theAEA may approve or reject minor deviations. Thosethat are classified major or critical are forwarded forfinal approval or rejection by the PM.

d. Deviations for items used by the Navy, butdeveloped by another Service, will be coordinatedwith the Navy by the JMC. In such cases, the JMCretains approval authority; however, the Navy can re-fuse to accept material covered by an JMC approveddeviation with which they do not concur (would ad-versely affect Navy safety/performance).

e. A complete record for Navy developed itemsis maintained in ACMDS covering all waiver anddeviation request and actions. It is cross referenced topermit identification by contract, part number, andtype of item. This file is used to facilitate the reviewof incoming requests and to audit corrective actions.



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3.4.3.3 Engineering Change Proposals (ECPs).

a. An essential feature of configuration manage-ment is change approval, which complements the in-herent change potential of complex items with thenecessary responsiveness in correcting deficiencies orinstituting enhancements. The events in the changeapproval process must operate as coherent elementswithin the centralized configuration management sys-tem (i.e., ACMDS). Engineering and functional re-quirements of an ammunition item are strictly definedby a technically qualified team prior to its procure-ment. Therefore, an in-depth technical review is nec-essary for those changes made during production. Theevaluation of each proposed change must consider allthe factors of that change, such as design perfor-mance, costs, impact on delivery schedules, opera-tional effectiveness, maintainability, logistics, andtraining. The evaluation of proposed changes also in-cludes the consideration of the cost benefits of retro-fitting in-stock and in-production assets versus oper-ating and maintaining multi-configurations of theitem.

b. DoD 5160.65-M emphasizes that the Navyretains responsibility for the overall configurationmanagement and control of SMCA-assigned ammuni-tion items developed by the Navy. This gives the PMthe final authority over changes to items developedby NAVSEA. The JMC has the responsibility to pro-vide comments to the AEA concerning the potentialimpact of the Navy’s approval or disapproval of con-tractor-initiated ECPs. Information and recommenda-tions by the JMC relate to the impact of proposedchanges with respect to costs and scheduled deliver-ies, or to future maintenance within the wholesaleinventory. On Joint Service usage items, all requiringServices are provided the opportunity to accept orreject change proposals for specified applications.Technical exceptions and unique Service requirementsare reconciled among the Services. During produc-tion, the JMC participates in the configuration controlresponsibility by interfacing with the Services inevaluating Class I actions, which include urgent ECPs,emergency ECPs, and routine ECPs during currentSMCA procurement contracts, Class II actions, andConfiguration Management of jointly used ammunitionitems regardless of procurement activity. Where whole-sale ammunition inventories are affected by a proposedchange, the JMC is provided sufficient visibility anddata to ascertain impact if the proposed changes areincorporated.

c. Engineering changes are categorized in MIL-HDBK-61 as a Class I engineering change when oneor more of the factors listed below is affected.

(1) The Functional or Allocated ConfigurationDocumentation (FCD or ACD), once established, isaffected to the extent that any of the followingrequirements would be outside specified limits orspecified tolerances:

(a) Performance.

(b) Reliability, maintainability or surviv-ability.

(c) Weight, balance, or moment of iner-tia.

(d) Interface characteristics.

(e) Electromagnetic characteristics.

(f) Other technical requirements in thespecifications.

NOTE

Minor clarifications and correctionsto FCD or ACD shall be made onlyas an incidental part of the nextClass I ECP and accompanyingSpecification Change Notice (SCN)or Notice Of Revision (NOR), unlessotherwise directed by the AEA.

(2) A change to the TDP, once established,will affect the FCD or ACD or will impact one ormore of the following:

(a) Government Furnished Equipment(GFE).

(b) Safety.

(c) Compatibility or specified in inter-operability with interfacing CIs, support equipment orsupport software, spares, trainers or training devices/equipment/software.

(d) Configuration to the extent that ret-rofit action is required.

(e) Delivered operation and maintenancemanuals for which adequate change/revision fundingis not provided in existing contracts.



3-4-8

(f) Preset adjustments or schedules af-fecting operating limits or performance to such extentassignment of a new identification number is re-quired.

(g) Interchangeability, substitutability, orreplaceability as applied to CIs, and to all sub-assem-blies and parts except the pieces and parts of non-repairable sub-assemblies.

(h) Sources of CIs or repairable items atany level defined by source-control drawings.

(i) Skills, manning, training, biomedicalfactors, or human-engineering design:

(3) Any of the following contractual factors.

(a) Cost to the Government including in-centives and fees.

(b) Contract guarantees or warranties.

(c) Contractual deliveries.

(d) Scheduled contract milestones.

d. Engineering changes are categorized in MIL-HDBK-61A as a Class II when it does not fall withinthe above definition of a Class I engineering change.Examples of Class II engineering changes are:

(1) Changes in documentation only (e.g.,correction of errors, addition of clarifying notes orviews).

(2) Minor changes in hardware (e.g., substitu-tion of an alternate item) which do not affect form, fit,or function.

e. All ammunition ECPs are reviewed by anin-service Configuration Control Board (CCB)chaired by the AEA. (Most ammunition changes areprocessed by the CCB without the necessity of for-mally convening the board.) The AEA coordinates thefollowing review actions:

(1) All ECPs are reviewed by the cognizantDA and the AEA.

(2) Class I ECPs are forwarded for additionalreview and approval by the PM.

(3) ECPs affecting interface with externalsystems are reviewed by the cognizant systems manag-er.

f. Original ECPs with rationale and supportingdata are submitted directly to the cognizant DA withinformation copies to the PM, AEA, and to the cogni-zant complete round DA. The DA’s responsibility isto classify and review the ECPs based on perfor-mance, design characteristics, safety considerations,and logistics support implications. This review is per-formed with benefit of the recommendations and dataprovided by the complete round DA.

g. The cognizant DA has the authority to origi-nate ECPs and to approve or disapprove those origi-nated elsewhere. The ECPs are then submitted to theAEA with supporting engineering data and rationale.Since ECPs can result in a change to technical docu-ments, drawings, and the ADL, etc., the cognizantDA may prepare a NOR for submission to the AEAwith approved ECPs. The NOR is a form for propos-ing revisions to a drawing, parts lists, and other tech-nical and engineering documents.

h. Upon receipt of an approved ECP from theDA or PM requiring a revision to procurement docu-mentation, the AEA evaluates the relevance of theengineering changes to current and planned procure-ments and approves or disapproves the NOR preparedby the DA. An approved NOR is promulgated tonotify users that the documentation has been revised.

i. The activity having custody of the mastertechnical documents pertaining to the approved NOR,revises the documents and makes an electronic imageavailable for inclusion in the AEA’s master documen-tation files.

j. The AEA establishes a record of all relevantECP and NOR data in the ACMDS.

k. The AEA ensures that the SMCA is for-warded updated or modified PDPs prior to finalizingECP and NOR actions.

3.4.4 Configuration Status Accounting (CSA). Thepurpose of CSA is to ensure accurate identification ofeach CI and delivered unit so that the necessarylogistics support elements can be correctly pro-grammed and made available in time to support theCI. An adequate and accurate CSA system willenhance the program and functional manager’s capabil-ities to identify, produce, inspect, deliver, operate,



3-4-9

maintain, repair, and refurbish, etc., CIs in a timely,efficient, and economical manner in satisfying theirassigned responsibilities. For surface ammunition,ACMDS fulfills this function.

3.4.4.1 CSA Requirements.

a. Identify the current approved configurationdocumentation and identification number associatedwith each CI.

b. Record and report the status of proposed en-gineering changes from initiation to final approval/contractual implementation.

c. Record and report the results of configurationaudits to include the status and final disposition ofidentified discrepancies.

d. Record and report the status of all criticaland major requests for deviations and waivers whichaffect the configuration of a CI.

e. Record and report implementation status ofauthorized changes.

f. Provide the traceability of all changes fromthe original baseline configuration documentation ofeach CI.

g. Report the effectivity and installation statusof configuration changes to all CIs at all locations.

3.4.4.2 Configuration Management Documents.ACMDS will manage the following documents:

a. Automated Data Lists.

b. Automated Data Lists - Change Notices.

c. Automated Data Lists - Notice of Revisions.

d. Engineering Change Proposals.

e. Notice of Revisions.

f. Waivers.

g. Deviations.

h. Ammunition Data Cards.

i. Depot Maintenance Work Requirements.

j. Contracts.

k. MIPRs/Purchase Orders/Work Requests.

l. Drawings.

m. Specifications/Standards.

3.4.4.3 ACMDS Computer and Connectivity. TheACMDS can be accessed from within or withoutNSWCDIV Crane via the CORP website. ACMDSutilizes a relational database management system,which enables the surface ammunition DA/AEA/ISEAto communicate with the following systems containingconfiguration data.

a. Lot Data Card System. Complete OSC lotdata card system.

b. Document Imaging System. General docu-ment storage system.

c. Procurement Status System. Holds data on allsurface ammunition procurements.

d. Rastor Image, Storage, Conversion, and Re-trieval System (RISCRS). Drawing management sys-tem.

e. Communications with these systems enablethose involved in configuration management to do thefollowing:

(1) View ammunition lot data cards that arelinked to ADLs in ACMDS.

(2) Call up any scanned document that isreferenced in ACMDS, such as Contracts, ECPs,Waivers, Deviations, ADLs, NORS, MIPRs, etc.

(3) View drawings that are managed inACMDS from the RISCR system.

3.4.4.4 ACMDS Reports. ACMDS will provide avariety of canned and ad-hoc reports to all ACMDSquery users.

a. ADL Listings.

b. Items Used on ADL Listings.

c. Contract Listings.

d. ECP/Waiver/Deviation Listings.

e. NOR Listings.

f. MIPR Listings.



3-4-10

g. Specification/Standards Listings.

h. Drawing Listings.

i. Items Referenced on Drawing Listings.

j. Depot Maintenance Work Requirements(DMWR) Listings.

The above reports make up the majority of theACMDS reports, but are not the only reports thatACMDS can provide. ACMDS has the capability toallow the user to create reports tailored to whateverparameters are required at the time.

3.4.5 Configuration Audits. As defined in MIL-HDBK-61A, configuration audits are normally per-formed before establishing a Product Base Line (PBL)for the item. Configuration audits consist of theFunctional Configuration Audit (FCA) and the Physi-cal Configuration Audit (PCA).

3.4.5.1 Functional Configuration Audit. An FCAshall be conducted for each configuration item forwhich a separate development or requirements specifi-cation has been baselined, except as otherwise requiredby the contracts, and for the overall system, ifrequired by the contract. The objective of the FCAwill be to verify the CI’s and system’s performanceagainst its approved configuration documentation. Testdata for the FCA shall be that collected from the testof the configuration of the item that is to be formallyaccepted or released for production (prototype orpreproduction article). If a prototype or preproductionarticle is not produced, the test data shall be collectedfrom test of the first production article. Subject toprior Government approval, the FCA for complexitems may be conducted in increments. In such cases,a final FCA may be conducted to ensure that allrequirements of the FCA have been satisfied. In caseswhere item verification can be completely determinedonly after system integration and testing, the finalFCA shall be conducted using the results of thesetests.

3.4.5.2 Physical Configuration Audit (PCA). ThePCA shall be the formal examination of the as-builtconfiguration of a CI against its design documentation.The PCA for a CI shall not be started unless the FCAfor the CI has already been accomplished or is beingaccomplished concurrent with the PCA. After success-ful completion of the audit and the establishment of aPBL, all subsequent changes are processed by formalengineering change actions. The PCA also determines

that the acceptance testing requirements prescribed bythe documentation are adequate for acceptance ofproduction units of a CI by quality assurance activi-ties. The PCA includes a detailed audit of engineeringdrawings, specifications, technical data, and testsutilized in production of CIs. The PCA shall includean audit of the released engineering documentation andquality control records to ensure the as-built oras-coded configuration is reflected by this documenta-tion.

3.4.5.3 Quality Deficiencies. Full-scale productionbegins after the approval of the PBL for an ammuni-tion item, the award of the production contract, andthe completion of the post-award survey. If qualitydeficiencies emerge during production, and deliverylots are rejected, the Navy may request the procuringactivity to authorize an on-site configuration audit.The on-site audit is scheduled and coordinated by theAEA. The DA, Contract Administration Officer(CAO), and other activities participate as required.

3.4.5.4 Additional Configuration Audits. Additionalaudits may be performed during production for se-lected changes to the item’s configuration documenta-tion or when contractors are changed. Broad policiesgoverning configuration audits for SMCA procureditems are set forth in DoD 5160.65-M. This documentstates that a PCA may be conducted at the contractor’sfacilities when requested by the developing Service.(The audit may be performed in coordination with therequiring Service when the requiring Service is otherthan the developing Service.) Also, an FCA may beconducted by witnessing functional tests and reviewingtest data at the contractor’s facilities. The CAO mustrespond to such requests for audit and provide accessto the contractor’s software (production procedures,quality assurance procedures, process control data,etc.) and hardware employed in connection with theitem being audited as allowed for in the contract.

3.4.5.5 Audit Report and Deficiency Correc-tion. Upon the completion of each audit, a report offindings is submitted to the procuring activity by theAEA. Deficiencies identified during PCAs and FCAsrequire corrective action within 30 days. If thesetimeframes cannot be met, the procuring activity willadvise the AEA accordingly, citing the reasons fordelay.

3.4.5.6 Audit Recording. In all matters pertaining toconfiguration control and management, the results ofthe contractor audit and the corrective action taken arerecorded in Document Imaging.



3-5-i

CHAPTER 3.5

Product Improvement Program

Table of Contents


3.5.1 Product Improvement Program (PIP) 3-5-1

3.5.2 PIP Abstract 3-5-1

3.5.3 PIP Plan 3-5-1

3.5.4 Reports and Reviews 3-5-1

3.5.5 Closure 3-5-2



3-5-1

CHAPTER 3.5

Product Improvement Program (PIP)

3.5.1 General. As explained in the DoD FinancialManagement Regulation, DoD 70001.14R, Product Im-provement Programs (PIPs) within the current perfor-mance envelopment on systems in production shall befunded with procurement appropriations. For 2T con-ventional ammunition that is the Procurement ofAmmunition Navy and Marine Corps (PAN-MC) ap-propriation. As part of their on-going ammunitionengineering efforts Engineering Agents (EAs) mayidentify design deficiencies, or new technologies, whichwould reduce life cycle costs, improve safety, increasereliability, improve producibility, etc. The annual reviewand selection process performed by the ProgramManager (PM) for new PIPs begins with the EAsubmitting a PIP abstract.

3.5.2 PIP Abstract. PIP abstracts for proposedPIPs are forwarded to the PM by 1 April each year aspart of the annual update of the three year plan forengineering support. The format of the abstract isdirected by the Program Manager (PM). The PM willreview the submitted PIP abstracts, select those thatshould be developed into a formal plan, and assign aPIP number by 1 May. PIP abstracts assigned anumber are to be uploaded to the ConventionalOrdnance Resource Portal (CORP) website.

3.5.3 PIP Plan.

3.5.3.1 Plan Contents. A PIP Plan is developed foreach of the selected PIPs by the EA, as assigned bythe PM. Each PIP Plan must address the following asdirected by the PM:

a. PIP objective. Including clearly defined goalswith specified thresholds and objectives.

b. Technical approach.

c. Breadth of Application (relevant calibers/components).

d. Plan Of Action and Milestones (POA&M)(Microsoft Project Submission).

e. Funding requirements.

f. Test plan.

g. Ammunition expenditure requirements.

3.5.3.2 Design Agent (DA) Meeting. Each June thePM will host a DA Meeting. The agenda includesEA’s briefing PIP proposal abstracts, selected PIPplans and status of ongoing PIPs. The P&G paperprovides additional guidance regarding preparation ofPIP plans. All elements of the plan will be presentedand discussed during the meeting. The PM willnegotiate with the EAs on the fine details of theselected PIPs in July.

3.5.3.3 Finalized PIP Plans. The EAs will submitfinalized PIP plans for PM approval by 20 August.The PM will identify funded PIPs each September inthe appropriate engineering support funding letter.

3.5.3.4 Plan of Action & Milestones (POA&M).Microsoft Project has been selected as the commonsoftware for illustrating the POA&M shall showschedules, milestones and costs by major tasks at aminimum. The schedule will be saved as a TrackingGantt with a baseline depicting the initial schedule ofthe PIP.

3.5.4 Reports and Reviews.

3.5.4.1 Quarterly Reports. Quarterly reports will besubmitted on all PIPs to coincide with productionengineering and financial status reports. Reports in-clude:

a. An updated POA&M.

b. Financial status at the funding document lev-el.

c. Narrative summarizing technical accomplish-ments and departures from baseline schedule andcosts.

d. Earned value metrics including percentschedule variance and percent cost variance.



3-5-2

The POA&M, narrative summary and earned valuemetrics will be uploaded to the Conventional Ord-nance Resource Portal engineering support website.Financial status will be reported as part of the SEATask quarterly financial report by the 15th of themonth following the end of each quarter.

3.5.4.2 Program Reviews. Program reviews will be

conducted by the PM as required.

3.5.5 Closure. Each PIP will be officially closedupon completion or cancellation by a letter from theEA PIP manager to the PM by uploading it on to theCORP website. The letter shall include a final reportand be submitted within six months of PIP completionor cancellation.



4-i

SECTION 4

In-Service Management

Table of Contents


4.1 In-Service Engineering 4-1-1

4.2 Quality Evaluation/Surveillance Program 4-2-1

4.3 Mobile Ammunition Evaluation and Reconditioning Unit (MAERU) 4-3-1

4.4 Deficiency Reporting 4-4-1

4.5 Technical Manuals 4-5-1



4-1-i

CHAPTER 4.1

In-Service Engineering

Table of Contents


4.1.1 General 4-1-1

4.1.2 Engineering Responsibilities 4-1-1


Figure Title Page

4-1-1 In-Service Engineering Organizational Relationships 4-1-2



4-1-1

CHAPTER 4.1

In-Service Engineering

4.1.1 General.

4.1.1.1 Engineering Activities. In-Service Engi-neering Agent responsibilities normally involve thesame engineering activities within the NAVSEAWarfare Center Divisions that provided the acquisi-tion engineering support. Functions include DesignAgent (DA), Acquisition Engineering Agent (AEA),In-Service Engineering Agent (ISEA), and QualityEvaluation Coordinator (QEC).

4.1.1.2 Perspective. The primary focus of in-serviceengineering management is to build, defend, andexecute a balanced program of proactive and reac-tive measures to best achieve/maintain the Ready forIssue Objective (RFIO) for each ammunition item,within the fiscal constraints applied by the Navybudget.

4.1.1.3 Organizational Relationships. Figure 4-1-1identifies the organizations involved in the in-servicemanagement processes and their relationship to eachother.

4.1.2 Engineering Responsibilities. Annually, theProgram Manager (PM) assigns engineering responsi-bilities for specific ammunition items to specificcommands in a tasking statement in the Naval SeaSystems community known as a SEA TASK. Thistasking statement identifies the engineering task re-sponsibilities, the ordnance items to which the tasksapply, and any special reporting requirements. Thistasking statement is referenced in the annual fundingdocument to specify the authorized use(s) of the fundsbeing provided. Recurring engineering responsibilitiesare listed under the appropriate title.

4.1.2.1 Design Agent. DA engineering support re-sponsibilities identified in Chapter 3.2, subparagraph3.2.2.1 of this Volume, continue throughout the lifecycle of the assigned ammunition item.

a. Specific in-service engineering responsibili-ties:

(1) Conduct malfunction investigations, whenassigned by the PM, or provide engineering and test

support for investigations assigned to other DAs,ISEAs, or the QEA as requested.

(2) Determine corrective design changes forfuture production and configuration changes to correctexisting stocks, when malfunctions are attributed to thebasic design.

(3) Review and provide engineering com-ments, recommendations and justification for devi-ations affecting safety or design configuration.

(4) Prepare and update Technical Data Pack-ages (TDPs) required for in-service ammunition main-tenance.

b. DAs providing in-service engineering supportare funded with Operation and Maintenance Navy(O&MN) funds programmed annually based on pro-jected requirements. Upon Congressional approval ofthe budget, funds are allocated by the PM to each DAon Work Request (WR) documents.

4.1.2.2 Acquisition Engineering Agent (AEA). TheAEA is the primary engineering activity for ammuni-tion post Milestone C (Approved for Full Production(AFP)). General responsibilities include identifyingand controlling ammunition item configuration, andmaintaining safety and quality during production.AEAs provide configuration control and productionengineering support for manufacturing, loading, andassembly.

4.1.2.3 In-Service Engineering Agent (ISEA). Afterentry of the ammunition item into the active inventory,the AEA normally becomes the ISEA, continuing theAEA responsibilities identified in Chapter 3.2 of thisvolume for any further procurements.

a. The ISEA takes on the following responsibi-lities for the assets in inventory:

(1) Monitor activity work performance rela-tive to technical documentation, productivity, and costfor all in-service funtions.

(2) Maintenance Planning and Execution.



4-1-2


PEO-IWS

PEO-IWS3CAPM

ConventionalAmmunition

ResourceSponsor

CNO (N411)

NOSSA

Engineering Agents

Design Agent

In-Service Engineering Agent

Acquisition Engineering Agent

Quality Evaluation Coordinator

ResourceSponsor

CNO (N411)

Figure 4-1-1. In-Service Engineering Organizational Relationships



4-1-3

(a) Prepare and update the 5 year DepotMaintenance Plan. Determines asses readiness pos-tures and provides maintenance priorities for mainte-nance processing of assigned ammunition items.

(b) Provides engineering and Technicalsupport to activities engaged in maintenance of as-signed ammunition items.

(c) Coordinate with NOLSC-AMMO tohave maintenance assets moved to the appropriatemaintenance activity.

(d) Provide technical documentation nec-essary to support the items on the maintenance plan,e.g. Depot Maintenance Work Requirement (DMWR)and Automated Data List (ADL).

(e) Approve all lots of ammunition priorto maintenance or modification of Navy and SMCAactivities.

(f) Perform maintenance line assess-ments and certifications as required.

(g) Provide in-process engineering sup-port as necessary.

(h) Monitor maintenance activity workperoformance relative to technical documentation,productivity, and cost.

(i) Monitor activity compliance withNAVSEA safety policies for maintenance operationsinvolving explosives and other hazardous material.

(3) Single Manager for Conventional Am-munition (SMCA) Interface.

(a) Coordinate 2T cog maintenance needswith the SMCA. Provide necessary inter-service main-tenance exhibits to the SMCA and participate in allapplicable workload/maintenance meetings.

(b) Represent NAVSEA on the JointOrdnance Commanders Group (JOCG) Maintenancesubgroup.

(4) Quality Evaluation (QE).

(a) Maintain liaison with the NAVSEAQE coordinator, test agent and test activities.

(b) Provide technical documentation andlogistical information necessary to support the 2T cogammunition QE efforts.

(c) Provide PEO-IWS3C/PM4 with a ra-tionale sheet for each QE candidate on the QE list.

(d) Review QE test plans and reportsand make recommendations for corrective actions toPEO-IWS3C/PM4.

(e) Document baseline QE parameter re-quirements (e.g. parameters that degrade with time)in coordination with the DA/AEA and QE agents.

(f) Ensure baseline QE requirements areincorporated into end item procurement acceptanceprocedures in coordination with DA/AEA.

(g) Verify that every lot of 2T cog am-munition produced is assigned appropriate componentstratum(s) and the test data (lot acceptance, MAERU,and special test) is input into the centralized SLAMSdatabase. Program and maintain SLAMS to predictammunition degradation trends, which will aid in de-veloping product improvement programs, maintenanceplans, ammunition classification, priorities for issue/use, and QE candidates.

(5) Technical Manuals & Configuration Man-agement.

(a) Coordinate the maintenance/update ofall 2T cog technical manuals and provide technicalsupport in accordance NAVSEAINST 4160.3A, Tech-nical Manual Management Program.

(b) Provide updates to NAVSUP P-805/7to ensure 2T cog ammunication can be properly sup-ported during the RSS&I process.

(c) Maintain configuration identificationand control of all in-service assets by reviewing anddocumenting deviations, surveillance reports, qualitydeficiency reports, maintenance data cards and SOPs.

(6) For Ammunition Malfunctions reported bya Conventional Ordnance Deficiency Report(CODR)/Explosive Mishap Report (EMR).

(a) Coordinate analysis with engineeringagents (DA, AEA, SIA, QE) on all reported incidents.

(b) Provide PEO-IWS3C/PM4 with awritten assessment of all reported ammunition relatedincidents.



4-1-4

(c) Assist PEO-IWS3C/PM4 in the coor-dination of any formal investigation of Fleet malfunc-tions as well as the implementation of corrective ac-tions identified as a result of the malfunctioninvestigations or incident assessments.

(d) Maintain an automated historical da-tabase for all CODR/EMR, mishaps, malfunction in-vestigations and related correspondence.

(e) Review all other available reports(e.g. CASREPS (Casualty Report), firing exercise re-ports, quality deficiency reports, quality evaluationreports, etc.) for ammunition design, production ormaintenance related problems and initate correctiveaction with the DA/AEA and PM4.

(7) NAR/OHF/AIN support.

(a) Review all available data and makeserviceability recommendations to support the issuanceof Notice of Ammunition Reclassifications (NARs)and Over Head Fire (OHF) restrictions.

(b) Review all Ammunition InformationNotices (AIN) issued by other Services or preparedby other engineering agents for applicability to 2Tcog ammunition and provide recommendations toPEO-IWS3C/PM4. Prepare potential AINs for pro-gram office review when necessary.

(8) Perform ammunition management on thecurrent in-service inventory to identify assets thatshould be priority issue and to assure proper classifica-tion of all in-service assets.

(9) Provide analytical support of requirementscomputations and inventory data, and assist PEO-IWS3C/PM4 in the annual Stratification and Cross-lev-eling program’s including economic retention analysis.

(10)Analyze and provide recommendations onthe service allowances (30,000 Series) for 2T cogammunition used by all Navy ships and units world-wide.

(11)Consolidate the Non-Combat ExpenditureRequirements (NCER) for the NAVSEASYSCOMmajor claimant for PEO-IWS3C/PM4 submission; allo-cate the Non-Combat Expenditure Allocations, monitorexpenditures for all sub-claimants and report majordeviations to PEO-IWS3C/PM4. Assist PEO-IWS3C/PM4 with analysis of asset availability in support ofthe NCER OPNAV Sponsor Review in 2T cogammunition.

4.1.2.4 Quality Evaluation Coordinator (QEC). TheQEC provides a system focus for the Quality Evalua-tion (QE) Program. The QEC functions at the weaponsystem or family level to plan, coordinate, and overseeQE for assigned systems.



4-2-i

CHAPTER 4.2

Quality Evaluation / Surveillance Programs

Table of Contents


4.2.1 General 4-2-1

4.2.2 Quality Evaluation (QE) Program 4-2-1

4.2.3 Predictive Model 4-2-4



4-2-1

CHAPTER 4.2

Quality Evaluation / Surveillance Programs

4.2.1 General. Quality Evaluation (QE) Programsfocus on the health of the in-service ordnance stock-pile. The quality, safety, and reliability informationderived from these programs assists the ProgramExecutive Officer/Program Managers (PEO/PM) andtechnical managers in maintaining safe and highquality stocks for use by the Fleet.

4.2.2 Quality Evaluation (QE) Programs. The QEprogram policy is defined in OPNAVINST 4850.1Band applies to all in-service non-nuclear ordnanceunder COMNAVAIRSYSCOM and COMNAVSEA-SYSCOM cognizance. This includes those ordnanceitems procured with a warranty contract.

4.2.2.1 Background. Ordnance typically degrades insafety, quality, reliability, and performance characteris-tics over time. The degradation is generally caused bychanges in chemical and physical properties, broughton by logistic actions and from the effects of storageand deployment. The primary goal of the program isto assure user safety and satisfaction with the ordnanceprovided to the Fleet. To do this, the QE programperiodically evaluates the in-service characteristics todetermine if any degradation has occurred. Further, theprogram projects service life for those ordnance itemsand components which degrade. The QE programreports serve as a basis for the PEOs/PMs andtechnical managers to take actions to ensure bothordnance safety and user satisfaction.

4.2.2.2 Purpose:

a. Determine current condition of the ordnancestockpile by assessing safety, quality, reliability,maintainability, and performance.

b. Identify and evaluate factors (including inter-faces with combat systems) affecting the current con-dition of the stockpile or the stockpile-to-target se-quence, including factors originating from design,assembly, maintenance, handling, storage, and deploy-ment.

c. Identify trends affecting the stockpile to pre-dict the future condition of the ordnance stockpileand to predict service/shelf life.

d. Monitor preventive or corrective actions andpolicies to determine the effect on safety, reliability,maintainability, and performance.

e. Based on QE findings provide technicallyand statistically-based recommendations for stockpileretention, improvement, or disposal.

f. Provide quality information to Navy POEs/PMs and technical managers responsible for develop-ing, procuring, and maintaining ordnance so that theycan use this experience gained to enhance productassurance.

4.2.2.3 SYSCOMs (e.g. NAVSEASYSCOM) and as-sociated Ordnance PEO/PMs will establish a manage-ment structure for the execution of a QE program fortheir cognizant items, maximizing to the greatestextent possible support from the other SYSCOMs andServices by:

a. Performing the budget and execution functionto effectively execute their individual QE programplans.

b. Coordinating and promulgating instructions,policies, procedures, and plans for their ordnanceitems.

c. Establishing a QE management structure thatmost effectively and efficiently supports their ord-nance items.

d. Makes agent assignments for their ordnanceitems as appropriate in accordance with their estab-lished management structure.

e. Approve an annual Quality Evaluation Pro-gram Plan (QEPP) for their ordnance items.

f. Conduct periodic QE program progress re-views.



4-2-2

g. Approve in coordination with necessary engi-neering agents, QE program test and evaluation crite-ria and performance assessment criteria.

h. Include test sample provisioning in acquisi-tion and logistic support planning and budgeting toensure quality evaluation sample requirements aremet per the applicable Quality Evaluation Plan(QEP).

i. Determine initial estimated service life forordnance and ordnance components which degrade.

j. Publish initial and revised ordnance servicelife expiration dates (weapons and CAD/PADs only).

k. Reviews and approves predictive model de-velopment efforts.

l. Ensure PEO/PM representation at the semi-annual QE review chaired by CNO (N411).

4.2.2.4 Naval Ordnance Safety and Security Activity(NOSSA), is technical authority for explosive safetyand explosive material. Responsibilities include:

a. Assist the PMs by disseminating informationon QE related issued, and upon request by the PMs,provide coordination in scheduling tests of similaritems, organize QE conferences, and participate inQE planning and execution.

b. Manage, technically direct, and execute alllife cycle responsibilities for the Navy and MarineCorps Quality Evaluation Technologies and Equip-ment (QETE) Program to support all Navy and Ma-rine Corps conventional ordnance QE efforts includ-ing all budgeting and execution functions.

c. Ensure QE technologies, equipment, and pro-cesses are fully compatible and integrated with theNavy’s Insensitive Munitions (IM) Program per OP-NAVINST 8010.13C.

d. Participate in the semi-annual QE review.

e. Upon request from PEOs/PMs and technicalmanagers provides support on QE related proceduresand technology issues at forums, i.e. Joint OrdnanceCommanders Group (JOCG), Department of Defense(DOD)/Department of Energy (DOE) Technical Coor-dinating Groups, Data Exchange Agreements, andForeign Military Sales (FMS).

4.2.2.5 Quality Evaluation Coordinator (QEC). TheQEC provides a system focus for the QE Program.The QEC establishes a QE Technical Agent (QETA) toprovide a QE focus at the major component level tocarry out the QE of assigned ammunition items. TheQEC supports NOSSA and the PMs.

a. Specific QEC Engineering responsibilities incoordination with the appropriate QETA.

(1) Maintain a capability for the completebreakdown of assigned ammunition into their separateparts and perform a complete visual, electronic, sonic,or other examination.

(2) Establish a QE master plan of assignedammunition to include Quality Evaluation ProgramPlans, and Quality Evaluation Item Test Plans, etc.

(3) Implement the periodic QE testing ofammunition items in accordance with the master plan.

(4) Provide recommendations to the QE Man-ager, the PMs and Appropriate AEA, DA, and ISEAfor necessary actions based on QE results.

b. QETAs providing engineering support arefunded for QE and testing with O&MN funds pro-grammed annually based on projected requirements.Upon Congressional approval of the budget, funds areallocated by the QE Manager NOSSA to each QETAon Work Request documents.

4.2.2.6 Quality Evaluation Technical Agent Responsi-bilities. These are responsibilities typically executedbelow the PEO/PM but must be accomplished as partof QE. PEO/PM will assign these roles to technicalagents in accordance with their established QE man-agement structure. QE Technical Agent roles arefurther detailed as follows:

a. Provide overall system level coordination ofQE efforts. The assigned agent interfaces wtih thePEO/PM/technical managers for QE issues includingoverall coordination of the approved budgets andschedules, work plans, and execution, program docu-mentation, progress reports, and reviews. The agent isresponsible for planning, testing evaluating and re-porting for QE testing.

b. Ensures annual and multi-year plans and bud-gets are developed and submitted to the PEO/PM/technical managers for both in-service and acquisitionphase items.



4-2-3

c. Plans and budgets for test costs including anydisposal costs of test residuals.

d. Plans and submits budgets for the develop-ment/acquisition of test and evaluation technologies,equipments, models, simulations as necessary.

e. Provides yearly budget requirements to PEO/PM/technical managers for QE sample acquisition.Include breakdown requirements, sample identifica-tion, quantity and sample acquisition manager re-quirements.

f. Determines the appropriate means for execu-tion of QE for each item to monitor the conditions ofthe inventory to establish aging trends of the criticalcharacteristics of the test item. Select/develops,proofs out predictive models and analytical tech-niques to be used to evaluate QE test items.

g. Develops and maintains step-by-step test pro-cedures and documentation for test items; coordinatesdevelopment and changes with QEC, EngineeringAgents and TAs.

h. Oversee sample acquisition process to assuretimely receipt of test items. Provides NCEA require-ments to cognizant major claimants to support testitem requirements. Requisitions assets for testing andtracks delivery status.

i. Establishes, documents and participates inTest Readiness Review (TRR) processes. ConductsTRR prior to item testing and certifies test readiness.Maintains TRR documentation.

j. Review data from all test sources as it be-comes available, analyze it, and provide summary ofimpact on system safety and reliability. Identifies allsafety and critical performance issues to the PM im-mediately.

k. Explores and documents any QE related ef-forts by other services/users of QE item or similaritems. Collect data for use in analysis as part of re-port/analysis process.

l. Coordinated review with appropriate engi-neering agents to determine adequacy of test andanalysis deocumentation, assessing test results, andreview of test reports prior to forwarding reports toPEO/PM managers for review and subsequent action.

m. Submit test reports to the PEO/PM after re-view and coordination by in-service engineeringagent, design agent and other technical agents andsubject matter experts.

n. Submit periodic accomplishment reports toPEO/PM/technical manager.

o. Inputs test results to PEO/PMs quality evalu-ation databases for assigned ordnance.

p. Provides design, production, lot acceptancetest, etc. data requirements to PM/technical managerfor inclusion in procurement contracts.

4.2.2.7 Design, Acquisition, System Integration andIn-Service Engineering Agent QE specific responsibili-ties: Roles and responsibilities include participation indevelopment and maintenance of QE documentation,program planning and execution processes, integrationof test item requirements and results and serving as aconduit for incorporating test item requirements andresults into various technical group, program anddesign reviews. Roles are further detailed as follows:

a. Participate in QE planning and workinggroups.

b. Provide inputs and recommendations for testitem candidates and test samples in support of annualand multi-year plans.

c. Provide data and information to support QEas necessary; data and information may include de-sign and qualification reports, Engineering ChangeProposals (ECPs), deviations, failure analysis reports,Failure Mode and Effects, Criticality Analysis (FME-CA) reports, first article, acceptance, periodic produc-tion, maintenance and failure analysis data, the sched-ules for impending acquisition or design related testand Fleet exercises etc.

d. Provide QE program initial proposed invento-ry stratification and rationale.

e. Provide inputs and recommendations for testmethods, critical characteristics, test parameters, eval-uation criteria, operational and/or specification re-quirements.

f. Participate in the development and review oftest documentation and processes.

g. Participate in TRRs as appropriate.



4-2-4

h. Review and comment on test item test re-sults.

i. Participate in development and proof out ofpredictive models.

j. Provide access to ordnance databases (main-tenance, configuration management, etc.).

4.2.3 Predictive Model. Predictive models are usedto project safety and reliability trends for QE testitems. The Surveillance, Lot Acceptance, and MobileAmmunication Evaluation and Reconditioning Unit(MAERU) System (SLAMS) Test Database is thepredictive model utilized by PEO-IWS3C. SLAMS isan automated database specifically designed for main-taining quality data on surface ammunition. Thisdatabase is maintained by the ISEA includes perfor-

mance, QE test, production acceptance, and MAERUdata for 2T Cog ammunition. The purpose of SLAMSis to:

a. Store historical key parameter data with auto-mated sort capabilities.

b. Provide a means to manage QE, Mainte-nance, MAERU, and procurement test data.

c. Conduct trend analysis by the engineeringand quality evaluation communities.

d. Predict degradation trends to enhance am-munition management, procurement of replacementmaterial, PIP actions, maintenance actions, and mal-function reviews.



4-3-i

CHAPTER 4.3

Mobile Ammunition Evaluation and Reconditioning Unit (MAERU)

Table of Contents


4.3.1 General 4-3-1


4.3.3 Personnel Composition 4-3-2

4.3.4 Equipment 4-3-3

4.3.5 Deployment 4-3-3



4-3-1

CHAPTER 4.3

Mobile Ammunition Evaluation and Reconditioning Unit (MAERU)

4.3.1 General.

4.3.1.1 Background. In the past, serviceability ofammunition stocks at overseas locations was deter-mined by visual inspection, sampling, and return ofsamples to Continental United States (CONUS) forevaluation. Ammunition classified unserviceable as aresult of inspection or evaluation was replaced andreturned for maintenance. The length of time in anon-Ready For Issue (non-RFI) status pending evalua-tion or replacement, and the handling and transporta-tion costs for return and maintenance, were excessive.

4.3.1.2 Purpose. The purpose of the Mobile Am-munition Evaluation and Reconditioning Unit(MAERU) is to reduce or eliminate the time lagbetween sampling and recertification as Ready ForIssue (RFI), and reduce transportation and handlingcharges. MAERUs are formulated with the capabilityof performing in-place evaluation and on-site mainte-nance. MAERU services are available to area andstorage site Commanders on a routine basis, or asspecifically requested. They may be for separateevaluation or for combined evaluation and mainte-nance actions. MAERU operations are carried out withminimum disruption of the daily activities of thestorage sites. They result in RFI certification of theentire storage site stockpile, less items that requireDepot Level maintenance, which is beyond theMAERU capabilities, or are irreparable. MAERUservices are also available, on a selective and reim-bursable basis, for the evaluation and maintenance ofsimilar munitions of U.S. origin in the possession of aforeign navy.

4.3.1.3 Schedule. MAERU teams shall visit the majorOutside Continental United States (OCONUS) pre-position sites on a three year cycle. The sites areclassified by regional location. Sites are in theMediterranean, Pacific and the Caribbean theaters.

4.3.2 Responsibilities.

4.3.2.1 Acquisition Program Manager (APM) (Pro-gram Executive Officer, Integrated Warfare Systems(PEO/IWS) Naval Gunnery Project Officer (IWS3C)

Conventional Ammunication Office at Naval SurfaceWarfare Center Division (NSWCDIV) Crane, IN).

a. Provides overall program guidance and policydirection for all phases of MAERU operations.

b. Approves three-year program plans and initi-ating budgeting submissions.

c. Exercises overall technical control of 2T Cogammunition maintenance (NSWCDIV Crane exercisestechnical control of 2E Cog items in coordinationwith NAVAIR and cognizant maintenance engineeringactivities. 0T Cog items are coordinated with MarineCorps Systems Command (MARCORSYSCOM) Pro-gram Manager (PM), Ammunition and Marine CorpsProgram Division, Fallbrook, CA).

d. Provides the financial support required to ad-minister, maintain, and operate the MAERU.

e. Issues work requests to NSWCDIV, CraneDetachment (Det.), Fallbrook, CA for MAERU opera-tions and for overall administrative and logistics re-quirements.

f. Monitors with ISEA support, overallMAERU operations for the purpose of ensuring effec-tive and efficient operation at overseas stockingpoints.

4.3.2.2 Naval Ordnance Safety and Security Activity(NOSSA), Indian Head, MD is responsible for provid-ing overall guidance with respect to safety.

4.3.2.3 NSWCDIV Crane Det., Fallbrook, CA:

a. Provides administrative, logistic, and techni-cal direction to the MAERU.

b. Submits a three-year program plan forMAERU operations to the PM six months prior to thebeginning of each fiscal year. The plan must providefor operations including travel, perdiem and overtime,components, equipment, tools, consumable supplies,and material requirements for MAERU operations.

c. Determines the need for scheduling and ac-complishing pre-evaluation surveys. The survey will



4-3-2

be preceded by obtaining lot-by-lot inventories of am-munition, and related components. The survey in-cludes coordinating the planned effort with the Fleetlogistics managers and the commands at the overseasstorage locations. As a result of pre-evaluation sur-veys and associated surveillance studies, NSWCDIV,Crane Det. Fallbrook, CA determines the most feasi-ble schedule and methods of evaluation and mainte-nance. An operational plan is developed for each ofthe storage activities to be serviced. The plan in-cludes the general instructions for the operation ofthe unit and the specific sampling plan for each am-munition item to be evaluated and processed througha maintenance line.

d. Conducts an audit to ensure that work hasbeen completed satisfactorily, adjustments have beenmade to the activity asset records, and the activityhas all necessary data to submit inventory changes oradjustments.

e. Prepares and publishes a detailed summaryfor each activity. This lists the test results, mainte-nance actions accomplished, estimates of overall qual-ity, information regarding inventory adjustments re-sulting from MAERU actions, evidence ofdeterioration, and recommendations for futureMAERU actions. The summary is submitted to theappropriate Fleet logistics manager and PM within 90days following the completion of the MAERU opera-tions and audit.

4.3.2.4 Fleet Logistics Managers:

a. Forward requests for MAERU service to thePM.

b. Assist NSWCDIV Crane Det. Fallbrook, CAin establishing a schedule which will be compatiblewith storage activities and MAERU requirements.

c. Ensure that adequate logistics support ser-vices such as material handling, local transportation,equipment, maintenance facilities, and labor are avail-able at each of the storage activities.

d. Ensure that the storage activities have com-pleted action on the inventory adjustments which re-sult from the MAERU actions.

4.3.2.5 Overseas Storage Activities:

a. Report ammunition assets, receipts and ex-penditures in accordance with current instructions.

Provide NSWCDIV Crane Det. Fallbrook, CA with alot-by-lot inventory by storage location, date of re-ceipt, and source, when requested.

b. Provide logistics support services such as ma-terial handling, local transportation, equipment, main-tenance facilities, and labor required for MAERU op-erations, and provide for temporary storage ofMAERU equipment and supplies prior to and follow-ing the MAERU deployment.

c. Request disposition instructions for Navy-owned material found to be unserviceable as a resultof MAERU quality evaluation, and which is not re-pairable by MAERU. USMC PM will provide dis-position instructions for 0T Cog items.

d. Reflect Condition Code (CC) and inventoryadjustments in station records occurring as a result ofMAERU operations.

4.3.3 Personnel Composition.

4.3.3.1 Team Composition. A MAERU, headed bya Technician-In-Charge (TIC), can consists of twoteams. One team consists of 4 to 6 quality evaluationspecialists. The other team consists of 6 to 9 ordnanceworkers. Test equipment and ammunition peculiarequipment for disassembly and assembly accompaniesthe two teams as required.

4.3.3.2 Personnel Roster. NSWCDIV Crane Det.Fallbrook, CA maintains a roster of designated andeligible personnel available for duty with the MAERU.This includes personnel qualified for duty as TIC andSenior Quality Evaluation Technician (Senior QET).Selection of personnel from other activities is subjectto the concurrence of the employee’s home station,unless such duty is a condition of employment. TICsare usually quality evaluation oriented personnel.

4.3.3.3 Technician-In-Charge (TIC). A TIC, as anofficial representative of the Commanding Officer,NSWCDIV Crane Det. Fallbrook, CA is in charge ofthe evaluation and maintenance (reconditioning) phasesof the MAERU operation. In the event that only theevaluation team is deployed, the Senior QET shallassume the listed duties of the TIC.

a. Refers directly to NSWCDIV Crane Det.Fallbrook, CA any operational or personnel matterswhich cannot be resolved on-site by the TIC.

b. Takes necessary precautions and mandatorymeasures to ensure that MAERU personnel are prop-



4-3-3

erly instructed and informed of the policies and regu-lations regarding security, restrictions, and curtail-ment of off station activities applicable to noncitizensof the host country.

c. Submits requests relating to quality evalua-tion, maintenance equipment, and materials require-ments to NSWCDIV Crane Det. Fallbrook, CA.

d. Provides NSWCDIV Crane Det. Fallbrook,CA the storage site Commander, and the Fleet Logis-tics Commander with reports of work progress inMAERU operations when units are active. These let-ter progress reports will adequately describe all actiontaken or contemplated by the MAERU in preparingand planning the schedules of operation, assembly,status of work completed, and estimated date ofcompletion of MAERU operations.

e. Takes such steps as may be necessary to en-sure the acceptable quality of reconditioned ammuni-tion items.

f. The TIC is responsible for an in/out briefwith the activity Commander/Ordnance Officer andan out brief with the area Commander.

4.3.4 Equipment.

4.3.4.1 Containers. Each set of equipment is con-tained in two standard commercial ocean-going cargocontainers. One container is outfitted with test andevaluation equipment (such as spin-test machines andprimer-firing equipment). The other has maintenanceequipment such as a fuze-removal machine andcartridge pull-apart equipment. Personnel and equip-ment associated with each team are capable ofindependent operation. When evaluation is completed,the evaluation team moves on to the next storageactivity. The maintenance team completes the task atthe first activity and then joins the evaluation team.

4.3.4.2 Container Rotation. Two complete sets ofMAERU equipped containers exist. On completion ofa deployment, the containers are returned toNSWCDIV Crane Det. Fallbrook, CA for replacementof supplies and reconditioning or upgrading as neces-sary, and the standby set is deployed. The standby setis available on-call for emergency deployment.

4.3.5 Deployment.

4.3.5.1 Inventory Request. In preparation for a rou-tine deployment, NSWCDIV Crane Det. Fallbrook, CA

requests by letter a lot-by-lot inventory from eachstorage activity. Activities with a low turnover rate ofammunition may be contacted 6 to 9 months inadvance of projected deployment. Activities with ahigh turnover rate are contacted 30 to 60 days prior todeployment to ensure that inventories are current.

4.3.5.2 Pre-evaluation Survey and Planning Visit. Apre-evaluation survey and planning visit is made toeach storage site to accomplish the following:

a. Coordinate the forthcoming MAERU opera-tions at each site.

b. Determine and arrive at an agreed to sched-ule for each activity and for the cycle.

c. Verify significant inventory changes from theprevious deployment and discuss major rework re-quirements.

d. Arrange for support of the MAERU at eachactivity by local handling personnel, material han-dling equipment, transportation, work area or facility,and supplies.

4.3.5.3 Team Preparation. Upon receipt of a currentyear work request from the PM for MAERU support,NSWCDIV Crane Det. Fallbrook, CA accomplishesthe following:

a. Selects team members, by message, 30 to 60days prior to deployment.

b. Conducts an indoctrination briefing for theTIC assigned to MAERU operations with respect toresponsibilities in foreign countries. The TIC of aMAERU is thoroughly briefed prior to departure onmatters pertaining to existing local and political con-ditions at oversears facilities.

c. Develops a schedule of visits and operationalplans for each storage location based on the verifiedinventory and the survey findings and agreements.

d. Arranges personnel travel itineraries and theshipment of the MAERU containers.

4.3.5.4 Operation Commencement. When theMAERU containers arrive, the site Commander ar-ranges to move the units to the designated work area.Once the operation begins, the TIC is responsible forthe following:

a. Scheduling the various functions such assampling inspection, testing, maintenance, and re-packaging to keep an even work flow.



4-3-4

b. Completion of the documentation as lots arereworked, including data card preparation and MIL-STD-129 Tag Application.

c. Preparation of a summary report uponcompletion of the operation at each site.

4.3.5.5 Final Report. The cycle is completed with

the issuance of a final report to each overseas storageactivity and the appropriate Fleet logistics managers.This is a detailed summary of the results of theMAERU operations including estimates of overallreliability by ammunition type, summarized test re-sults, maintenance actions accomplished, and recom-mendations to adjust future MAERU testing frequencybased upon evidence of changing deterioration trends.



4-4-i

CHAPTER 4.4

Deficiency Reporting

Table of Contents


4.4.1 Deficiency Reporting 4-4-1

4.4.2 Explosive Mishaps 4-4-1

4.4.3 Malfunction Investigations 4-4-6

4.4.4 Notice of Ammunition Reclassification (NAR) System 4-4-10

4.4.5 Transportation Discrepancy Report (TDR) 4-4-11

4.4.6 Supply Discrepancy Report (SDR) 4-4-12

4.4.7 Financial Liability Investigation of Property Loss (FLIPL) Report 4-4-12

4.4.8 Causative Research 4-4-12

4.4.9 Missing, Lost, Stolen, or Recovered (MLSR) Report 4-4-13



4-4-1

CHAPTER 4.4

Deficiency Reporting

4.4.1 Deficiency Reporting.

4.4.1.1 General. There are many types of reports innon-nuclear ordnance management. These range froma report of loss of life and property damage resultingfrom an explosive accident, to a Report of Discrepan-cy (ROD) involving shipping-type item (issue) andpackaging discrepancies, to a Missing, Lost, Stolen, orRecovered (MLSR) report resulting from an inventorydiscrepancy.

4.4.2 Explosive Mishaps.

4.4.2.1 Scope.

a. OPNAVINST 5102.1D is the single policy di-rective for mishap and safety investigation reportingand record keeping by all Navy and Marine Corpscommands, activities, units, installations and facilities.A “Mishap” is any unplanned or unexpected eventcausing death, injury, occupational illness, includingdays away from work, job transfer or restriction, andmaterial loss or damage. All recordable mishaps are tobe reported electronically to Commander, Naval SafetyCenter (COMNAVSAFECEN). COMNAVSAFECENwill be contacted within eight hours by telephone orelectronic means of all Navy or Marine Corps ord-nance related Class A explosive mishaps. Electronicreports to COMNAVSAFECEN are to be made via theWeb-Enabled Safety System (WESS). WESS is a web(World Wide Web - www) based safety mishap datacollection and reporting system that provides a real-time data entry and retrieval system with 20 years ofdata in a consolidated database. The Uniform ResourceLocator (URL) address for WESS is: http://www.safe-tycenter.navy.mil/wess/default.htm.

b. The objective of the Naval Ordnance Mainte-nance Management Program (NOMMP) as describedin OPNAVINST 8000.16 series is to achieve and con-tinually improve aviation (and Navy) material readi-ness and safety standards established by the Chief ofNaval Operations (CNO).

(1) The Naval Aviation Maintenance Discrep-ancy Reporting Program (NAMDRP) specifies that a

deficiency reporting program be initiated which ensur-es that corrective action occurs as a result of thereporting process. NAMDRP reports include Conven-tional Ordnance Deficiency Reports (CODR) andExplosive Mishap Reports (EMR). The alternate meth-od of submitting CODR and EMR is via theNAMDRP website: https://namdrp.navair.navy.mil.

(2) The Airborne Weapons Corrective ActionProgram (AWCAP) is a closed loop database/systemwithin the weapons community that provides visibilityof the status of problems and deficiencies and feed-back on corrective actions as they occur, to ensureoperational readiness and to reduce maintenance costs.A CODR or EMR trigger an AWCAP deficiencyreport. The preferred method for submitting a CODRor EMR is using the All Weapons Information System(AWIS) at: https://awis.mugu.navy.mil.

c. DoD 5160.65-M of 01 April 1989 specifiesuniform policies and procedures for inter-service noti-fication and reporting of ammunition malfunctions.

4.4.2.2 Explosive Mishap Catagories.

a. Explosive Mishap Report (EMR). An acci-dent or indicent involving conventional ordnance, am-munition, explosives, explosive systems and devicesresulting in an unintentional detonation, firing, defla-gration, burning, launching of ordnance material (in-cluding all ordnance impacting off-range), leaking orspilled propellant fuels and oxidizers (less OTTO fuelII), or chemical agent release is an explosive mishap.Accidents and incidents defined as explosive mishapsand meeting a severity classification of class A, B orC, will be reported as an EMR in accordance withOPNAVINST 5102.1D using WESS, even if an ord-nance sysem works as designed, and human errorcontributed to an incident or accident. Any explosiveevent not meeting one of these severity classificationswill be reported as an Explosive Event Report (EER).

(1) Mishap Severity Classifications:

(a) Class A Mishap. The resulting total costof reportable damage $1 million or more or an injury and/



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or occupational illness results in a fatality or permanenttotal disability.

(b) Class B Mishap. The resulting totalcost of reportable property damage is $200,000.00 ormore but less than $1 million; an injury and/or occupa-tional illness results in permanent partial disability; orwhen three or more personnel are hospitalized for inpa-tient care (which for accident reporting purposes only,does not include just observation and/or diagnostic care)as a result of a single accident.

(c) Class C Mishap. The resulting totalcost of property damage is $20,000.00 or more, but lessthan $200,000.00; a nonfatal injury that causes any lossof time from work beyond the day or shift on which itoccurred; or a nonfatal occupational illness or injury thatcauses loss of time from work or disability at any time.

b. Explosive Event Report (EER). Any eventinvolving conventional ordnance, ammunition, explo-sives, explosive systems and devices resulting in anunintentional detonation, firing, deflagration, burninglaunching of ordnance material (including all ord-nance impacting off-range), leaking or spilled propel-lant fuels and oxidizers (less OTTO fuel II), or chem-ical agent release, explosive events will be reportedin an explosive event report (EER) in accordancewith OPNAVINST 8000.16 series, Volume I, Chapter4.6. Even if an ordnance system works as designed,and human error contributed to an event. This per-tains to all events that do not meet the severity classi-fication of a Class A, B, or C Mishap previouslydescribed.

(1) An EER is initiated for the followingevents using AWIS at https://awis.mugu.navy.mil. Forcommands without internet access use the proceduresdefined in OPNAVINST 8000.16 series, Volume I,Chapter 4.6 for submitting a naval message.

(a) Detonation, Deflagration, Burning orFiring. It is an unintentional or inadvertent initiation, ex-plosion or reaction or explosive material, component orsystem.

(1) Example: Unintentional dischargesof all guns, including small arms (this includes dischargeof weapon in government quarters or accidental dis-charges and ricochets during training on ranges), aircrewescape propulsion systems, marine location markers,flares, etc.

(b) Inadvertent Launch. Is an unintentionallaunch of a weapon.

(c) Chemical Agent Release. Any uninten-tional launch of a weapon.

(1) Damage occurs to property fromcontamination, or costs are incurred for decontamination.

(2) Individuals exhibit physiologicalsymptoms of agent exposure.

(3) The quantity released to the atmo-sphere created a serious potential for exposure.

(d) Propellant and Oxidizers. Is leaking orspilled propellants (both solid and liquid), propellantfuels and oxidizers (less OTTO fuel II).

(e) All Ordnance Impacting Off–Range.This includes all small arms ranges where ricochets causebullets to impact outside surface danger zones.

c. Conventional Ordnance Deficiency Report(CODR). A CODR incident is where ordnance orweapon systems fail to function in accordance withthe designed and/or intent of the system and resultsin no property damage or injury. This includes im-proper storage, explosives, ammunition, explosivesystems, or devices, including weapon systems com-ponents that come in direct contact with the ordnance(e.g. ammunition, explosives, missiles) and armament,handling, support equipment used to fire, handle,load, deliver, store or transport ordnance.

(1) A CODR is initiated for the followingevents using the All Weapons Information System(AWIS) at https://awis.navy.mil. For commands with-out Internet access use the procedures defined inOPNAVINST 8000.16 series, Volume I, Chapter 4.6for submitting a naval message.

(a) Malfunction. The failure to functionproperly of conventional ordnance, explosives, ammuni-tion, small arms, weapons or weapon system componentsand support equipment that come in direct contact with theordnance.

(1) Example: Failure to launch, dudweapons, gun fails to cycle, JATO fails to ignite, etc.

(b) Inadvertent Launch or Arming. Theunintentional launch, arming of an explosive componentor weapon caused by mechanical failure.



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(c) Defective Weapons Support Equip-ment. Deficiencies involving any equipment or deviceused in the manufacture, test, assembly, handling or trans-portation or any explosive system.

(1) Example: Skids, trailers, slings orsimilar equipment.

(d) Observed Defect. A discovered defec-tive weapon or weapon system component that comes indirect contact with the ordnance, small arms, weapons,conventional ordnance, explosives, and ammunition.

(1) Example: Protruding primers,cracked grains, damaged or broken breech bolts, brokenor scratched missile radomes, and advanced corrosion.Items that are under warranty, new or newly reworked willbe reported using a Product Quality Deficiency Report(PQDR) per OPNAVINST 8000.16 series, Volume 1,Chapter 4.6.

(e) Other Deficiencies. The failure of an ex-plosive component or explosives system to test, calibrateor otherwise meet pre-loading or pre-launch requirements.

(1) Example: The failure of Built-In-Test (BIT) and OTTO fuel spills. Any part of ordnance,ordnance systems, or ordnance equipment falling fromaircraft requires a CODR.

4.4.2.3 Explosive Mishap Occurrences. Explosivemishaps may occur as a result of:

a. Some external force during processing in thelogistic cycle such as impact or friction,

b. Some external phenomena such as fire, flood-ing, lightning, electrostatic discharge etc. while instorage, or

c. Expenditure (intended or accidental).

d. Mishap occurrences may be categorized asfollows:

(1) Support Operations Mishaps. An eventinvolving ordnance, explosives, or chemical agents thatresults in an explosion, release of chemical agent, ordamage to the explosive item being processed duringmanufacturing, loading, assembling, disassembling,demilitarizing, handling, transport operations, or whilein storage. Included are “near-mishap” events that,except for chance, would have resulted in an explosivemishap.

(2) Mishaps During Planned Expenditure. Adeliberate actuation, release, or launching in combat,or noncombat expenditure of ordnance which fails tofunction in the designed manner. Examples includein-bore explosions, close-aboard prematures, hangfires,down-range prematures, misfires, or duds.

(3) Unplanned Functioning Mishaps. An acci-dental or inadvertent actuation, release, or launching ofordnance which, when armed, functions as designedirrespective of casualty or damage, or when unarmedbecomes a potential hazard in friendly territory orinshore waters. Included are the deliberate emergencyjettisoning of ordnance in friendly territory.

(4) Hazardous Conditions Potential Mishaps.Any defect or condition found in an ordnance item orcomponent on visual examination or local test whichmight result in an explosive mishap. The following areincluded in this category:

(a) The recovery of jettisoned, abandoned,or lost ordnance items or explosives in public areaswhich, if found by untrained civilian or military person-nel, represent a potential explosive hazard.

(b) The recovery of ordnance or explosivematerial of known or undetermined hazard in the posses-sion of the private sector by Explosive Ordnance Dispos-al (EOD) personnel.

(c) The emergency disposal by EOD per-sonnel of dangerous military explosive items recoveredanywhere in friendly territory.

(d) The observation of a near mishap, anunnatural occurrence, or the unauthorized alteration ormisuse of ordnance, which has the potential for casualtyor damage during the alteration process or upon ultimateuse.

4.4.2.4 Accident Responsibilities (On Station orAboard Ship). It is the responsibility of the activity orcommand experiencing the mishap to conduct a localinvestigation and report all reportable explosivemishaps, in accordance with OPNAVINST 5102.1D orOPNAVINST 8000.16C. Information gathered by thelocal investigation is required for the reporting ele-ments contained in Appendix B of OPNA-VINST 5102.1D. In addition, the local investigation isthe first step in determining the basic cause of amishap and in formulating local corrective action. Inmany cases sufficient evidence may be available in themishap report to arrive at a determination and to directcorrective action that may be required.



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4.4.2.5 Accident Responsibilities (Off-Station). Mis-haps occurring during off-station shipment of ordnanceby commercial or government carrier are of majorconcern to the Navy as to public safety, particularly inthe case of train wreck or truck accidents whereordnance cargo is damaged or scattered outside the railcar or truck trailer, and for assessment of damage tothe ordnance cargo and determination of commercialcarrier liability.

a. NAVSEAINST 8020.18A is the Navy’s gov-erning instruction for transportation accident preven-tion and emergency response involving DoD ord-nance. The instruction outlines preventive measures,emergency response action responsibilities, and im-portant contact phone numbers for the Army Opera-tions Center (AOC) and other sources of assistance.The NAVSEAINST specifies accident reporting infor-mation to be included on each Government Bill ofLading (GBL), SF 1103, accompanying a shipment ofDoD ordnance. This information provides local au-thorities with all of the information required to prop-erly notify DoD in the event of an explosive mishapon public roadways.

b. Unless otherwise directed by OSD, the Navywill decide on the need to perform safety investiga-tions of transportation accidents involving its ship-ments. Investigations for future accident preventionpurposes are encouraged. Duplication of effort by theNational Transportation Safety Board (NTSB) andDoD component should be avoided. The Navy willcooperate with NTSB investigations.

c. Completed investigation reports will be for-warded to the OSD Safety and Occupational HealthPolicy Directorate with an additional copy furnishedto the DDESB and the Military Traffic ManagementCommand (MTMC).

d. Determination of damage, internal as well asexternal, and the assessment of repairs to return theordnance items to serviceable condition are the re-sponsibility of certified personnel at the ordnance ac-tivity receiving the ordnance involved in the accident.

4.4.2.6 Support Operation Mishap Corrective ActionResponsibilities.

a. Mishaps during manufacturing, loading, as-sembly, disassembly, maintenance, or demilitarizationare generally attributable to noncompliance with safe-ty precautions or prescribed operating procedures,

equipment failure or defective equipment, or un-known causes.

(1) Local commands are to instruct and trainor retrain personnel in operating procedures and safetyprecautions, and to initiate a program of closersupervision, for mishaps attributed to personnel error.For major mishaps, the PM is responsible for thereview and revision, if appropriate, of any technicalrelated documents and safety precautions for alloperations of this type. Recommended changes tosafety precautions should be forwarded to all applica-ble commands/activities.

(2) When the cause of a mishap is attributedto equipment failure or defective equipment, the localcommand is to review equipment inspection andmaintenance programs for greater emphasis on preven-tive maintenance, and request assistance in equipmentredesign/modification if appropriate.

(3) When personnel error and equipmentmalfunction or failure are eliminated, the explosiveitem in process must be considered as suspect and theexact failure mode reported as unknown. Dependingon the severity of damage and injuries, the itemprocess should be discontinued.

b. Mishaps occurring during ordnance handlingor transportation, whether associated with in-processoperations, receipt, issue, restowage operations, ortransfers at sea are generally caused by equipmentfailure, defective equipment, or personnel error (non-compliance with safety precautions or prescribedequipment operating instructions).

(1) When local investigations indicate person-nel error, local commands shall initiate a correctiveprogram of training and instructions in explosivesafety, non-nuclear ordnance transporting, and handlingequipment operations. Naval Ordnance Logistics Sup-port Center-AMMO (NOLSC-AMMO) and NWSCIndian Head Division Detachment Earle are responsi-ble for changes to safety precautions and operatingprocedures for transporting and handling ordnance.

(2) Mishaps attributed to defective equipmentor equipment failure during handling or transportationare generally avoidable by local preventive mainte-nance and inspection programs.

4.4.2.7 Hazardous Condition, Potential Mishaps Cor-rective Action Responsibilities. Report all mishaps inaccordance with OPNAVINST 5102.1D.



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a. Damaged non-nuclear ordnance discoveredduring stowage, Quality Evaluation (QE), or receiptinspection is generally the result of rough handling ora prior unreported mishap. Local commands shouldperform the following actions:

(1) Instruct all station personnel in the neces-sity for mishap avoidance and for reporting tosupervisors all mishaps of damage or rough handlingas they occur.

(2) Report all transportation-type discrepan-cies (i.e., shortages, losses, or damage occurring intransit) found during receipt inspection in accordancewith NAVSUPINST 4610.33 on a TransportationDiscrepancy Report (TDR) SF 361. If loss appears tobe from theft, follow MLSR procedures as describedin paragraph 4.4.9.

(3) Set damaged ordnance aside for inspec-tion and classification by quality evaluation personnel.

b. Non-nuclear ordnance damaged by flooding(e.g., actuation of magazine sprinkler systems afloat)should lead to an inspection for the presence of waterin ordnance containers, in cartridge and propellingcharge tanks, and under waterproof protective caps ofprojectiles. The mishap report should include detailson quantities showing evidence of water damage.Suspect ordnance should be tagged indicating the rea-son for reclassification and returned to an ordnanceactivity ashore at the first opportunity.

c. Defective ordnance discovered during stow-age; surveillance; preparation of subassemblies andcomponents for new production, assembly, or loading;or during preparation/disassembly of rounds for main-tenance are usually the result of faulty manufactureor prior maintenance operations. Defects, such asmissing gas check seals or protruding primers, maybe prevalent in other rounds of the ammunition lot orlot stratum and should be reported by message.

d. Ordnance found on private property or in thecustody of private individuals has a potential for cata-strophic or major mishaps in the hands of untrainedcivilian personnel. EOD personnel accepting custodyof such ordnance should determine, if possible, howit was obtained, where it was found, and other infor-mation reported in accordance with OPNA-VINST 5102.1D.

4.4.2.8 Unplanned Functioning Mishaps CorrectiveAction Responsibilities.

a. Unplanned functioning mishaps are generallycaused by dropping or striking a device containing apercussion primer, snagging a firing lanyard or cotter-pin pull-ring, or emergency conditions requiring thedeliberate jettisoning of ordnance.

b. Local commands conduct investigations, re-view local and published safety precautions, provideinstruction or training emphasizing safe operatingprocedures, and report findings in accordance withOPNAVINST 5102.1D. Jettisoned ordnance should bereported if it occurs in friendly territory or in-shorewaters with the possibility of its recovery by the pri-vate sector.

4.4.2.9 Planned Expenditure Mishaps Corrective Ac-tion Responsibilities.

a. Planned expenditures, in combat or noncom-bat operations, are considered as beginning with theplacement of an ordnance item into a weapon orlauncher with intentions to fire or launch the item.For automatic loading weapon systems, this includesthe placement of the ordnance item in the loading/fir-ing cycle. Naval ordnance is designed to safely andreliably negotiate cycling, ramming, chambering, orlauncher loading, firing, launching, and effective per-formance on target. In some cases this includes caseextraction and return of weapon to battery for main-taining a required rate of fire. Mishaps occurring dur-ing expenditure are attributable to one or more ofordnance and weapon system interface incompatibili-ties, defective ordnance, defective weapon system orequipment, or personnel error (noncompliance withsafety precautions or prescribed operating proce-dures).

b. Mishaps are primarily due to the effects ofexternal forces on an ordnance item during its lifecycle from production through release for expendi-ture. These forces or effects are varied, unpredictable,and generally not repetitive. Planned expenditure mis-haps are more likely to be repetitive, given the sameordnance item and weapon system configuration andthe same set of conditions. Repetitive major mishapswhich result in lot or lot strata suspensions can resultin a serious reduction in Fleet readiness. Intensiveinvestigations and rapid response corrective actionsare the general rule for major mishaps occurring dur-ing expenditures.

(1) All activities engaged in combat or non-combat expenditure of non-nuclear ordnance experi-encing mishaps or malfunctions should discontinue the



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use of the item, pending local investigation andassessment of probable causes.

(2) When local investigation indicates anobvious cause for a minor mishap, such as failure toset point detonating fuzes to “on” (personnel error),local corrective action is considered sufficient groundsfor resumption of use.

(3) For all other mishaps where ordnancefails to function in the manner for which designed andlocal investigation does not indicate a probable cause,reports shall be submitted as required by OPNA-VINST 5102.1D. Depending on the degree of actual orpotential casualties and damage, and operational neces-sity (combat), usage may be resumed shifting to otherammunition lots or ordnance types if possible.

(4) Because explosive accidents and majormalfunctions are usually characterized by the destruc-tion or loss of the offending item, the difficulty inpositive determination of cause is magnified. Allfragments and remains of the item should be collectedfor examination and tests. Photographs of damages aredesirable. Instances have been noted where minormalfunctions or incidents have resulted in the unneces-sary disposal of the item. In most cases, the hazardassociated with an incident or minor malfunction is atthe instant of occurrence or immediately thereafter.After an approved interval, an item sustaining a minormishap should be tagged, set aside, and returned to thenearest issuing activity ashore for investigation tests orother disposition as may be directed by the PMthrough the IM. Nothing in the above is to beconstrued as prohibiting the immediate disposal of anitem that in the opinion of the Commanding Officer isconsidered to constitute an imminent hazard.

4.4.3 Malfunction Investigations.

4.4.3.1 General.

a. Every explosive mishap requires a malfunc-tion investigation. The majority of explosive mishapsoccurring in the Navy are of the magnitude and cir-cumstances that only require a local investigation todetermine the cause and appropriate corrective actionas described within paragraph 4.4.2. with reports sub-mitted to the appropriate authorities specified in theOPNAV instructions.

b. Some explosive mishaps will have formalmalfunction investigations assigned requiring involve-

ment by external management and engineering activi-ties.

c. The Joint Ordnance Commanders Group(JOCG) Joint Conventional Ammunition Policies andProcedures (JCAPPs) have been approved by the Of-fice of the Under Secretary of Defense (Acquisition,Technology and Logistics) as an alternative to thecorresponding chapters of the DoD 5160.65-M, SingleManager for Conventional Ammunition (Implement-ing Joint Conventional Ammunition Policies and Pro-cedures). JCAPP 11 of January 2006, titled SAFETY,para J11.3.1, discusses responsibilities and proceduresfor malfunction investigations and reporting.

4.4.3.2 Investigation Team. The severity of themishap, the ordnance/weapons system involved, andthe location of the mishap determines which commanddirects the investigation and which commands willprovide representatives on the investigation team. Theinvestigation responsibilities are basically the sameregardless of who assigns them and to whom they areassigned. Typically, the tasks should include:

a. Alerting other users that a mishap has oc-curred.

b. Preventing further use of like items until adetermination as to the cause of the mishap has beenmade.

c. If needed, conduct an investigation to deter-mine the causative factors of the mishap.

d. Informing all concerned of the determination.

e. Release of the items for use, maintenance ordemilitarization.

4.4.3.3 Emergency Reaction Plan for CatastrophicExplosive Mishaps. Explosive mishaps resulting infatalities, severe injuries, or equipment damage man-date immediate action to preclude a recurrence underthe same or similar circumstances. The following stepsare critical to preventing a recurrence.

4.4.3.4 Immediate Action.

a. Evaluate message report for:

(1) Description of occurrence.

(2) Accuracy of round(s) identification (pro-jectile, propelling charge, fuze, and any other pertinentitems).



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(3) Accuracy of all lot numbers (can befound by checking ammunition data files).

(4) Any other information that can be veri-fied.

b. Inform PEO-IWS3C/PM416 and NOSSA.

(1) PEO-IWS3C performs an assessment ofthe world wide inventory.

c. Telephone request to NOLSC-AMMO, Me-chanicsburg, PA followed up by 2T Cog Ammunitionmalfunction database research sheet to issue NARsuspending involved ammunition lots to conditioncode J. Send information copies of the NAR messageto all addresses of original message.

(1) In the event that PEO-IWS3C/PM416 isunavailable to carry out the requirements above, theISEA shall carry out the requirements.

(2) In the event that PEO-IWS3C/PM416 andISEA are unavailable to carry out the requirement of cabove, NOLSC-AMMO Mechanicsburg, PA shall exe-cute the requirements. NOLSC-AMMO Mechanics-burg, PA shall make every effort to ensure that theNAR is being issued on a valid lot number.

d. Send immediate message to ship or activity,Fleet Commander, Type Commander (Copy to CNO),PEO-IWS3C/PM416 and NOSSA advising or request-ing the following:

(1) Request all fragments and residual materi-al be retained for analysis and investigation.

(2) Request all onboard suspect ammunitionbe offloaded at the first opportunity and held forinvestigation.

(3) Request any other information whichcould be applicable to the investigation.

(4) Request confirmation of previously re-ported lot information (only if there is any question orsuspect of original data).

(5) That PEO-IWS3C/PM416 is the actionofficer on all matters regarding the malfunctioninvestigation and is forming a special technical inves-tigation team.

e. Appoint members of the investigation teamand assign a team leader or senior technical represen-tative. Fleet support will be requested by telephonefollowed by message to provide personnel for meet-ings and deployment, if necessary. The initial meetingshould occur within 24 hours.

4.4.3.5 Action.

a. Immediate action on receipt of a telephonereport or e-mail (from reporting activity or from athird party in the chain of command) will be taken,including the following:

(1) The PM will alert appropriate ISEAs,and/or DAs, by telephone or e-mail, providing detailsand digital images as received and the Date-TimeGroup (DTG) of the confirming mishap message orthe message itself.

(2) The PM will alert NOLSC-AMMO bytelephone and, depending on the circumstances andadequacy of information, will direct the suspension ofthe lot or type of non-nuclear ordnance involved.

b. Priority action is taken as follows when amishap message report is received.

(1) The PM, ISEAs, DAs, and the QEC/QEAevaluate accuracy of the ordnance identification asreported, including projectile, propelling charge, andcomponents, in comparison with item configurationand lot data files. They identify lot strata parameterscontaining primary explosive components of the samelot, same component manufacturer, or same loadingand assembly production run.

(2) On the day of evaluation completion,ISEAs, DAs and the QEC/QEA will provide the PMwith the following information by telephone:

(a) Acknowledgment of mishap messagereport receipt (negative reports required).

(b) Results of the identification evaluation.

(c) Comments, additional information re-quired, and primary suspected failure modes (based onsimilar past mishaps).

(d) If reported circumstances are unprece-dented, identify by name and rank/grade the individualdesignated as an investigative team member.



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c. The PM will do the following within 24hours of a mishap message report receipt:

(1) Confirm prior telephone direction toNOLSC-AMMO by establishing a 2T Cog Ammuni-tion malfunction database research sheet confirming oramending lot or type originally suspended in accor-dance with ISEA, DA, and QEC/QEA identificationevaluations.

d. The decision to deploy a team to the site willbe dictated by severity or circumstances of the mis-hap, or by direct request from OPNAV, COMNAV-SEASYSCOM, Fleet or Type Commander.

(1) Upon deciding to deploy a team to thesite, the PM is responsible for the following:

(a) Sending a message to the ship or activi-ty and the appropriate chain of command addressees,identifying all members, their Estimated Time of Arrival(ETA), and team support requirements.

(b) Providing required travel funding forinvestigation team members.

(c) Assembling the investigation teammembers for an initial meeting.

(2) If an on-site investigation team is notrequired, the PM will be responsible for the following:

(a) Assigning the investigation responsi-bilities to appropriate engineering and other support ac-tivities, and provide funding to participate in the inves-tigation if required.

(b) Send a message to the ship or activityand the appropriate chain of command addressees, notify-ing them that the technical investigation will be con-ducted off-site.

4.4.3.6 Investigation Responsibilities. The followingresponsibilities will be carried out by the assignedactivity and/or its representative on the deployedinvestigation team:

a. ISEA (NAVSURFWARCENDIV) Crane.

(1) Evaluate initial reports of catastrophicoccurrences as established in paragraph 4.4.3.4

(2) Review all mishap reports on assigneditems and submit comments and recommendations tothe PM on actions required.

(3) Upon establishment of a formal technicalinvestigation i.e. SAMC, by the PEO-IWS3C PM4Conventional Ammunition Program Office, coordinatethe development of a POA&M with the DA and/orAEA. Monitor and report progress made by theassigned DAs and QEC/QEAs and NOLSC support.

(4) Coordinate and lead on-site technicalinvestigation with the reporting unit/activity, unitsImmediate Superior in Command (ISIC), DA, AEA orother engineering activities, e.g. gun systems, asappropriate.

(5) Coordinate with NOLSC-AMMO Mecha-nicsburg and unit/activity in obtaining residual assets,samples, in order to conduct tests. Point of destinationof sample quantities will be provided as part of thereferral.

(6) Monitor DA and/or AEA performanceagainst the POA&M and provide status to PEO-IWS3C/PM4.

(7) Review the final malfunction investigationreport prepared by the assigned DA or AEA, providingendorsement, non-endorsement or additional recom-mendations to PEO-IWS3C/PM416 as appropriate.

(8) Provide monthly progress/status reports by–the 5th working day of each month to PEO-IWS3C/PM416 on all open and funded investigations. Reportswill start at the receipt of funds and continue untilcompletion of final malfunction investigation report.

b. Appointed DA(s) and AEA.

(1) Evaluate initial reports of catastrophicoccurrences following guidelines in paragraph 4.4.3.4.

(2) Review mishap/malfunction reports andprovide recommendations to PEO-IWS3C/PM416 orthe ISEA as appropriate.

(3) When requested by the PEO-IWS3C/PM416 or the ISEA, prepare POA&M for submissionin sufficient time to meet the submission requirementsoutlined in message establishing the technical inves-tigation.

(4) Fully cooperate with the ISEA, AEA, andother DAs when a formal technical investigation intocauses is assigned by PEO-IWS3C/PM416.



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(5) Recommend special tests and analysisappropriate to investigation to the ISEA via POA&M.

(6) Provide test sample and related item (e.g.weapon, fragments, etc.) to the ISEA.

(7) Notify the ISEA when test samples andrelated items are received.

(8) Schedule and manage tests as defined inthe approved POA&M. If problems or excessivedelays occur in executing POA&M, immediatelyinform PEO-IWS3C/PM416 and the ISEA.

(9) Submit monthly progress/status report tothe ISEA by the 3rd working day of the month.Monthly progress/status report shall include an updatedmilestone chart.

(10) Prepare final malfunction investigationreport for submission to the ISEA for review.

c. QEC/QEA.

(1) Review mishap/malfunction reports andsubmit comments and recommendations on probablecauses, reclassification actions, and investigation re-quirements. Submit comments within 24 hours bytelephone for major mishap/malfunctions, and whenappropriate for minor mishap/malfunctions.

(2) Provide immediate telephonic response tothe PM on assigned catastrophic mishap emergencyreaction plan action items.

(3) Schedule, perform, and report results ofinvestigations and laboratory tests assigned by the PMor as contained in a malfunction investigation plan.

(4) Provide historical QE test and Fleet per-formance data to the PM or DA/ISEA as required.

d. NOLSC-AMMO Mechanicsburg, PA. As ICPfor Navy conventional ammunition and in accordancewith NAVSUP P-724 shall:

(1) Ensure PEO-IWS3C/PM416, ISEA, andDA(s) are aware of all mishap reported per OPNA-VINST 5102.1D and OPNAVINST 8000.16C.

(2) Issue NARs per NAVSUP P-724 tochange Condition Code (CC) item under investigationas directed by PEO-IWS3C/PM416.

(3) Ensure that the JMC/SMCA and otherService users of Navy non-nuclear ordnance, includingcountries supported by the Security Assistance Pro-gram (SAP), are addressed on NARs as appropriate.NARs are distributed in message format to AddressIndicator Groups (AIG) 181, 7613, 11005, 11253, and11480.

(4) Maintain a permanent record (NAVSUPP-801 the NAR Manual) of all service-wide reclassifi-cations.

(5) Arrange for the shipment of required testsamples and related items with MILSTRIP and ship-ping data for DA/QEC/QEA investigations as re-quested by the ISEA.

(6) Obtain inventories of reclassified items asrequired by the PM, ISEA, DAs, or the QEC/QEA.

(7) Develop, maintain, and manage an auto-mated data processing system to track and crossreference all mishaps, Ammunition Information No-tices (AINs), NAR actions by DoD code, NARnumber, SAMC number and lot number.

4.4.3.7 Message Addressees. The appropriate PM andNOLSC-AMMO are required action addressees on allmishap/malfunction message reports. The determina-tion to release the item to general usage, by directresponse to the reporting activity or to reclassify it byNAR, is required in the normal response interval for aroutine (five days) or a priority (24 hrs) actionmessage. Information addressees with support respon-sibilities in this determination are to be guided by thispolicy.

4.4.3.8 Final Ammunition Disposition by the PM.From the evidence and circumstances in the mishapreport, and findings and recommendations of theinvestigation report, the PM will determine one of thefollowing:

a. Determine that issue and use of the item lot,lot strata, or type as serviceable CC “A” materialmay continue. For this determination the PM willadvise the reporting activity and all addressees thatsuspension from use is not warranted and that localusage may be resumed.

b. Determine that issue and use may continue,but with qualifications. The PM will direct NOLSC-AMMO to reclassify the item lot, lot strata, or typeto CC “B”, with qualifying notation, CC “C”, priority



4-4-10

of issue, or CC “N” for issue and use in an emergen-cy only.

c. Determine that issue and use may continue,under any circumstances. The PM will direct NOLSC-AMMO to withdraw the item lot, lot strata, or typefrom issue and use permanently as CC “H” (unser-viceable-condemned), CC “P” (unserviceable-for dis-posal after reclamation of required components), CC“F” (unserviceable-requires major maintenance incl-duing component replacement), or as CC “E” (unser-viceable-requires 100 percent screening for defects).

4.4.3.9 ISEA Additional Responsibilities. In additionto specific malfunction investigation responsibilities,the ISEA (NAVSURFWARCENDIV Crane) is alsoresponsible to the PM for the following:

a. Summarize investigations in a MalfunctionInvestigation Status Report to be published semi-annually or as directed by PEO-IWS3C/PM416.

b. Maintain an electronic or hard copy for allopen and completed SAMC files for retrieval andfurther use.

4.4.4 Notice of Ammunition Reclassification(NAR) System.

4.4.4.1 General. The degree of ordnance service-ability is defined for ordnance management by theassignment of material Condition Codes (CCs). Allnewly produced/procured non-nuclear ordnance that iscompletely finished, tested, and legally accepted bythe receiving activity, is assumed to be serviceable -CC “A” material. Over a period of time, environmen-tal effects, damages sustained in handling, and deterio-ration due to aging result in changes in the degree ofserviceability. Stock record changes to CCs can occuras a result of local reclassification or directed reclassi-fication by the PM. Local reclassification becomesnecessary when QE personnel inspect material instorage or received from other activities, or uponsegregation of non-nuclear ordnance in an undeter-mined condition CC “K”, and determination is madethat its original condition is no longer valid. Localreclassification is limited to individual items or thosestocks locally inspected. Defects are not lot or typeoriented, except for local stocks or lots that haveexceeded their Mission Capability Packages (MCPs).Changes in wholesale stock items occur in the samemanner. JMC/SMCA activities prepare an AmmunitionCondition Report (ACR) for submission to the owningService ICP for review and disposition of the material

as a result of the new CC. Unilateral reclassificationby issuing a NAR is required when the followingoccurs.

a. QE periodic test results indicate service widestocks of an ammunition lot or stratum of lots are nolonger serviceable.

b. Malfunction investigations indicate inherentdesign or manufacturing defects are present in a lotor lot stratum that may exist elsewhere in the stock-pile.

4.4.4.2 Description. NARs are distributed in mes-sage format to AIG 181, 7613, 11005, 11253, and11480 to pass information directly to all stockingactivities and potential users. Only a few NARs applyto non-nuclear ordnance carried aboard submarines andsubmarine support ships. Therefore, COMSUBLANTand COMSUBPAC monitor NAR messages for theirunits and transmit only those applicable to them.Individual NARs are numbered consecutively in eachfiscal year (e.g. 201-02). Each message normallycontains more than one NAR. The NARs serve assupplements to NAVSUP P-801. NAR messages arecanceled when they are incorporated into a change orthere is a revision to NAVSUP P-801. Procedures forprocessing NARs by ordnance activities are containedin Chapter 2 of the NAVSUP P-801. A similar systemof reporting mishaps and malfunctions, their analysisand investigation, and reclassification action noticesexists in the Army. Based on the inter-service agree-ment on exchange of malfunction and reclassificationactions, Army reclassification of common usage itemsin Navy stocks are usually concurred in and dissemi-nated to Navy users by NARs. USMC class V(W)mishaps/malfunctions are reported and investigated viaArmy or Navy channels, depending on which serviceis the original design and procurement agent. AllUSMC reclassifications are disseminated by NARs.The Navy and USMC reserve the right to nonconcurin Army reclassifications of common items in theirstocks, if readiness factors or circumstances of theArmy mishap/malfunction are not likely to be encoun-tered.

4.4.4.3 Unserviceable - Suspended, Limited Use Am-munition NAVSUP P-801. This NAVSUP P-801 pub-lication is the USN/USMC comprehensive listing of allnon-nuclear ordnance, and certain commercial explo-sive items (such as cartridge-powered stud drivers,dynamite, etc.), which are not suitable for unrestrictedissue and use. Permanently suspended lots or lot strataare listed, until rolled-up as an obsolete and unsatis-



4-4-11

factory type, and retained on the listing in case suchitems later reappear. NAVSUP P-801 is listed inDoDIC/NALC sequence, and alphabetically for itemsand components without assigned DoDIC/NALCs.Entries indicating a release of ordnance are also listed,but appear in only one change or revision. Thispublication is applicable to all Service units/activitiesstoring and/or handling Navy, Marine Corps, or CoastGuard owned non-nuclear ordnance and to foreignmilitaries purchasing USN/SMCA manufactured ord-nance. Limitations imposed on material by the publica-tion do not supersede cautions/warnings/restrictions intechnical manuals, ordnance pamphlets, firing tables,or other applicable documents. Those publicationsshall be followed in addition to the limitationscontained in NAVSUP P-801. A material CC listed inNAVSUP P-801 does not necessarily override a locallyimposed CC, but shall do so if the local code is lessrestrictive. Although published by direction of NAV-SUP, individual entries may be included at thedirection of CNO, CMC, NAVSEA or NAVAIR.

4.4.5 Transportation Discrepancy Report (TDR).

4.4.5.1 Scope. The Navy’s governing instruction forTDRs is NAVSUPINST 4610.33, which is a jointservice instruction. NAVSUPINST 4610.33 applies toall US commercial carriers except Military AirliftCommand (MAC) or ocean carriers. TDRs, SF 361,are used to accomplish the following:

a. Notify, or confirm notification to, carriers ofa problem with a shipment.

b. Notify a carrier to pick up damaged materialand to show where the material is located.

c. Request information from any source to as-sist in resolving a discrepancy (such as requestingpricing data from a shipping activity or inventorycontrol point).

d. Reply to a request for information.

e. Advise action agencies that the discrepancypreviously reported was either changed or canceled.

f. Document problems at a stop-off or trans-shipment point, for action by the consignee.

g. Report all transportation discrepancies thathave not been resolved within the time limits set byNAVSUPINST 4610.33.

h. Document discrepancies when services or-dered by the Government are not performed by thecarrier (e.g., ordnance not delivered on time).

i. Adjust inventory and financial records.

j. Support claims against carriers or contractors.

4.4.5.2 Applicable Forms. Form DD 173/2 (JointMessage Form) NAVSUPINST 4610.33 Chapter 2 willbe prepared for transportation discrepancies applicableto CLASSIFIED or PROTECTED, including hazardousmaterial shipments. DD Form 470 (Cargo OutturnReport) is used as a summary and transmittal sheet fora consolidated TDR/DD Form 788 (Private VehicleShipping Document) or commercial carrier form filewhen a sealift carrier is suspected of being the causeof the loss or damage.

4.4.5.3 Discrepancies Excluded by NAVSU-PINST 4610.33.

a. Reporting of equipment offered by carriersthat cannot meet the safety requirements for movinghazardous materials (see NAVSUPINST 4600.70).

b. Reporting, adjusting, and accounting for sup-ply discrepancies; preservation, packaging, packing,and supply item identification marking, and; lost ordamaged parcel post shipments (see paragraph 4.4.6).

c. Discrepancies found in FMS or grant aidshipments not moving in the Defense TransportationSystem.

d. Any problem with Transportation Control andMovement Documents (TCMDs).

4.4.5.4 Major Discrepancy Types:

a. Astray.

b. Shortage.

c. Pilferage.

d. Theft.

e. Damage.

f. Vandalism.

g. Overage.



4-4-12

h. Special contract or carrier services not pro-vided.

i. Entire shipment not received.

4.4.5.5 Responsibilities. The Surface Deploymentand Distribution Command (SDDC) is the responsibleExecutive Agent for managing the DoD worldwidecargo loss and damage reporting and analysis systemthat includes TDRs. Command Transportation Officerswill perform the following functions:

a. Document and submit TDRs on all trans-portation discrepancies in shipments received, in ac-cordance with NAVSUPINST 4610.33.

b. Investigate and gather facts relating to eachdiscrepancy in shipment to support Governmentclaims against the carrier.

c. Take necessary TDR corrective actions.

d. Respond to requests for additional informa-tion within set timeframes.

e. Submit an MLSR report as described in para-graph 4.4.9. Notify supporting security/law enforce-ment element immediately upon learning of discrep-ancies which indicate possible security compromise,theft, vandalism, unexplained loss, or any other activ-ity that may warrant their investigation.

4.4.6 Supply Discrepancy Report (SDR).

4.4.6.1 Scope. The Navy’s governing instruction forSDR’s, SF 364, is NAVSUP P-723. SDR’s werepreviously called Report of Discrepancy (RODs). TheSF 364 will have the title “Report of Discrepancy”until the form is amended. SDRs are used to accom-plish the following.

a. Identification, reporting, and resolution ofdiscrepant shipments occurring in the DoD logisticssystem, when the discrepancy is due to shipper error.

b. Identification, reporting, and resolution ofdiscrepant shipments of new production material andreworked material. Also included are discrepancies onmaterial received from contractors, other supply offi-cer (Navy to Navy) transfers, and discrepancies in-volving shipments to or from Foreign Military Sales,Grant Aid, and Military Assistance Program custom-ers.

4.4.6.2 Excluded Discrepancies.

a. Unsatisfactory material involving local baseor station warehousing actions to or from internal orsatellite storage sites. This exclusion does not applywhen a transfer of ownership occurs from one com-mand to another as part of the local move (i.e. in atransfer from the station host to a tenant).

b. Transportation-type discrepancies covered byNAVSUPINST 4610.33 on a TDR, SF 361.

c. Product deficiencies resulting from design,material, or procurement attributable to nonconfor-mance to contractual requirements or specificationsare reported in accordance with SECNAVINST4855.5A, on a Product Quality Deficiency Report(PQDR), SF 368.

4.4.6.3 Responsibilities. Activities submitting SDRsare responsible for submitting them correctly andwithin the timeframes specified in NAVSUP P–723.Activities responding to SDRs are responsible forresearching discrepancies and responding within thetimeframes specified in NAVSUP P–723.

4.4.7 Financial Liability Investigation of PropertyLoss (FLIPL) Report.

4.4.7.1 Purpose. The FLIPL will be used to reportand account for the following types of inventoryadjustments. NAVSUP P-724 provides policy andprocedural guidance for the FLIPL.

a. An unresolved physical inventory adjustmentthat meets the causative research criteria as defined inNAVSUP P-724, Chapter 6.

b. An unresolved physical inventory adjustmentwhen research has determined that theft, fraud ornegligence is suspected.

c. A FLIPL will be completed within 45 calen-dar days after the completion of causative research ifthe causative research has failed to yield the cause ofthe material gain or loss.

4.4.7.2 Report Form. The form for submitting aFLIPL report is the Form DD 200.

4.4.8 Causative Research.

4.4.8.1 Purpose. Per NAVSUP P–724, causative re-search is an in-depth investigation to identify why aphysical inventory adjustment occurred. It is per-formed when pre-adjustment research cannot resolvethe discrepancy.



4-4-13

4.4.8.2 Procedures. Conduct causative research afterthe physical inventory is completed and adjustmentsare processed to the stock point record. Adjustmentsrequiring causative research:

a. Adjustments on Controlled Inventory Items(CAT I & Cat II) regardless of dollar value.

b. Adjustments on CIIC 7 (Cat II) items withNet Explosive Weight (NEW) greater than or equal to10 pounds.

4.4.8.3 When causative research is completed:

a. When cause has been established, correct er-roneous transactions, retain supporting documentationfor two years.

b. If the reason for the loss or gain has not beenestablished, submit a DD Form 200, Financial Liabil-ity Investigation of Property Loss (FLIPL) report (see

paragraph 4.4.7). If prior OPREP-3 Navy Blue mes-sage was submitted, annotate the DD Form 200 withthe OPREP-3 Date-Time-Group (DTG).

4.4.9 Missing, Lost, Stolen, or Recovered (MLSR) Report.

4.4.9.1 Scope. Per NAVSUP P-724 Missing, Lost,Stolen, or Recovered (MLSR) ammunition is both aninventory accuracy issue as well as a security issue.Unique MLSR message reports have been discontin-ued. Investigation concerning MLSR ammunitionshould follow causative research procedures (seeSection 4.4.8) Reports for apparent MLSR incidentsaffecting Cat I and II AA&E and classified materialshall be accomplished via submitted an OPREP-3Navy Blue message within 48 hours of incidentdiscovery. Procedures and format for an OPREP-3Navy Blue message are found in OPNAVINST3100.6G.



4-5-i

CHAPTER 4.5

Technical Manuals

Table of Contents


4.5.1 General 4-5-1

4.5.2 Surface Ammunition Technical Manuals 4-5-1

4.5.3 Reporting Technical Manual Deficiencies 4-5-1


Figure Title Page

4-5-1 Technical Manual and Publication Listing 4-5-2



4-5-1

CHAPTER 4.5

Technical Manuals

4.5.1 General.

4.5.1.1 Purpose. Technical manuals and publica-tions are used for a variety of purposes.

a. Identify specific design, safety, handling,maintenance, or storage specifications for a spe-cific ammunition item or group of items.

b. Identify general design, safety, handling,maintenance, or storage specifications for a groupof ammunition items.

c. Provide desk reference documents forammunition management.

4.5.1.2 Governing Instruction. NAVSEA techni-cal manuals are governed by NAVSEAINST4160.3 and S0005-AA-PRO-010.

4.5.1.3 Publication Listing. This section identi-fies the technical manuals and publications thatcover various surface ammunition items and pro-cesses, and what command has been assigned asthe Technical Manual Maintenance Activity(TMMA).

4.5.1.4 Publication Requisitioning. Manuals andpublications listed in Figure 4-5-1 are available toDoD activities by referring to NAVSUP P-409

Military Standard Requisitioning and Issue Proce-dures (MILSTRIP)/ Military Standard TransactionReporting and Accounting Procedures (MIL-STRAP) Desk Guide for requisitioning instruc-tions. Activities may be placed on the distributionlists for these manuals by application to theCommander, Port Hueneme Division, Naval Sur-face Warfare Center (Code 5B61), 4363 MissileWay, Port Hueneme, CA 93043-4307.

4.5.2 Surface Ammunition Technical Manuals.The technical manuals and publications listed inFigure 4-5-1 provide detailed information for sur-face ammunition items. These technical manualsand publications are to be referred to as theauthoritative source of information.

4.5.3 Reporting Technical Manual Deficiencies.Any command identifying a deficiency, problem,or providing a recommendation relating to atechnical manual may use a NAVSEA (User)Technical Manual Deficiency/Evaluation Report(TMDER), NAVSEA Form 4160/1 located in theback of each manual. The user must completelyand accurately fill out the form and mail it to thepreprinted address so that appropriate action canbe taken on the deficiency/evaluation. It is impor-tant to note that the preprinted form can only beused for the manual in which it is in due to thepreprinted information.



4-5-2

MANUAL NUMBER TITLE TMMA

(Command)

SW010-AD-GTP-010 Small Arms & Special Warfare Ammunitions

NSWCDIV Crane

SW010-AE-GYD-010 NAVSEA Surface Ammunition Management

NSWCDIV Crane

SW010-AF-ORD-010/NAVAIR 11-1-117

Identification of Ammunition NSWCDIV Crane

SW010-AG-ORD-010(C) List of Explosives for Navy Munitions NSWCDIV Indian Head YorktownDet

SW010-AH-ORD-010(C) Armament of Naval Vessels NSWCDIV Crane

SW020-AC-SAF-010 Transportation & Storage Data for Am-munition

NSWCDIV Indian Head Earle Det

SW030-AA-MMO-010 Navy Gun Ammunition NSWCDIV Crane

SW050-AB-MMA-010/NAVAIR 11-15-7 Vol 1

Pyro Screening/Marking/CountermeasureDevices

NSWCDIV Crane

SW050-AB-MMA-020/NAVAIR 11-15-7 Vol 2

Pyro Screening/Marking/CountermeasureDevices (Obsolete and UnserviceableItems)

NSWCDIV Crane

SW050-AC-ORD-010/NAVAIR 11-15-8

Toxic Hazards Associated with Pyro Items NSWCDIV Crane

SW060-AA-MMA-010 Demolition Material NSWCDIV Crane

SW061-AA-MMA-010 Use of Explosives in Underwater Salvage NSWCDIV Crane

SW061-AB-ORD-010 Carts & CADs for Underwater AssociatedEquipment

NSWCDIV Crane

SW073-AC-MMA-010 Miscellaneous Chemical Munitions NSWCDIV Crane

NAVSUP P-801 Ammunition Unserviceable, Suspended,and Limited Use

NOLSC-AMMO

NAVSUP P-802 Navy Ammunition Logistics Codes NOLSC-AMMO

NAVSUP P-805 Receipt, Storage, and Issue Sentencing NOLSC-AMMO

NAVSUP P-806 OT/2E/2T Cog Ammunition SegregationSentencing

NOLSC-AMMO

NAVSUP P-807 Fleet Sentencing NOLSC-AMMO

NAVSUP P-808 Visual Aids NOLSC-AMMO

Figure 4-5-1. Technical Manual and Publication Listing



5-i

SECTION 5

Maintenance Management

Table of Contents


5.1 Maintenance Functions 5-1-1

5.2 Maintenance Process 5-2-1



5-1-i

CHAPTER 5.1

Maintenance Functions

Table of Contents


5.1.1 General 5-1-1

5.1.2 Maintenance Levels 5-1-1



Figure Title Page

5-1-1 Maintenance Management Organizational Relationships 5-1-4

5-1-2 Specific Responsibilities and Assignments 5-1-5



5-1-1

CHAPTER 5.1

Maintenance Functions

5.1.1 General. Maintenance is all action taken toretain material in a serviceable condition or to restoreit to serviceability.

a. Preventive maintenance is the care and ser-vicing by personnel for the purpose of maintainingequipment and facilities in satisfactory operating con-dition by providing for systemic inspection, detection,and correction or incipient failures either before theyoccur or before they develop into major defects.

b. Corrective maintenance are those actions tak-en to return unserviceable material to a serviceablecondition.

c. Because of its impact on readiness, Mainte-nance is one of the most important functions associat-ed with the in-service portion of the ammunition lifecycle. Maintenance operations are the most economi-cal and rapid means of generating additional ReadyFor Issue (RFI) ammunition to support operatingforces. On-hand assets include unserviceable stocks,less Condition Code (C/C) “H”, “P”, and “V”, basedon the presumption that unserviceable items can bemade RFI, given trained personnel, available compo-nents, and authorized facilities. Policies and proce-dures respond to the CNO Approved Acquisition Ob-jective (AAO) and to the Fleet operationalrequirements. The AAO is the goal to be achievedand maintained. The various Reclassification Opera-tions determine the assets in the inventory requiringmaintenance that are used towards achieving theAAO.

5.1.1.1 Reclassification Operations. Reclassificationof serviceable stocks to unserviceable and their migra-tion from RFI to non-RFI stock, generating the needfor maintenance, occurs as a result of the followingprograms and operations.

a. Quality Evaluation (QE) Program. This pro-gram, in addition to providing a general assessmentof the quality of the ammunition, will identify lots,strata, or types of end items requiring correction ofdefects or replacement of unsafe or unreliable compo-nents.

b. Malfunction Investigations. Investigations todetermine causes of reported ordnance accidents, inci-dents, or malfunctions often detect unsafe, unreliable,or defective components assembled in lots or lot stra-ta. Maintenance is required to correct the defectivelots.

c. Segregation. The segregation process sepa-rates and classifies ordnance of undetermined condi-tion as C/C “K”. Repairable items, classified asC/C “E” and “F” by the segregation process, are can-didates for minor and major maintenance respectively.

d. Local Inspection. Routine day-to-day opera-tions such as issue, receipt, magazine restowage, ormagazine surveillance, involve either a formal qualityassurance inspection or a visual inspection by quali-fied ordnance personnel. During these operations “setasides” of unserviceable repairable items are gener-ated.

e. Modification. In certain cases, it becomesnecessary to convert either serviceable or unservice-able assets of an item in long supply (in excess ofinventory objective levels) to an item configurationthat is in short supply.

5.1.1.2 Perspective. The primary focus of mainte-nance management is to build, schedule, and execute amaintenance program to best achieve the AAO foreach ammunition item, within fiscal constraints appliedby the Navy budget.

5.1.1.3 Organizational Relationships. Figure 5-1-1identifies the organizations involved in the shore-basedmaintenance processes and their relationship to eachother.

5.1.2 Maintenance Levels. Ammunition maintenancehas been divided into two categories within the Navyand for work done by the Single Manager forConventional Ammunition (SMCA).

5.1.2.1 Major Maintenance. This term is generallysynonymous with Depot maintenance. Depot mainte-nance is that maintenance performed on materielrequiring major overhaul or a complete rebuild of



5-1-2

parts, assemblies, subassemblies, and end items, in-cluding the manufacture of parts, modifications, testingand reclamation as required. Normally includes reno-vation, conversion, modification, reclamation, refur-bishment, and remanufacture of serviceable or unser-viceable assets.

a. Renovation is a general term that denotes theperformance of any process (other than completebreakdown and reassembly) required to render exist-ing assemblies, sub-assemblies and related items fullyserviceable. Renovation includes exterior mainte-nance, overhaul, reconditioning, repair and rework.

b. Conversion is a change in form and/or func-tion of an item or population of items. Conversionresults in a change to the configuration identity (i.e.,DODIC/NALC) of converted items. Conversion maybe accoomplished during maintenance or the RDT&Eprocess.

c. Modification is a change that normally affectsthe configuration identify (i.e., changes the DODIC/NALC/NSN) and may affect the form and/or functionof modified items. Modification may be accomplishedduring maintenance operations to comply with techni-cal directives.

d. Reclamation is the process of recovering us-able components from assemblies or All Up Roundsthat are obsolete, in excess of requirements, or unser-viceable and beyond economic repair.

e. Refurbishment is similar to renovation to re-store to a former better state as by cleaning, repairingor rebuilding.

f. Remanufacture is to take existing items andmanufacture into a new product.

g. Serviceable Ammunication is ammunitionthat is capable of performing as designed or as in-tended (under limited or restricted conditions). Itemsidentified with a Condition Code of “A”, “B”, “C”, or“D” are categorized as serviceable.

h. Unserviceable Ammunition is ammunitionthat has one or more defects that would or would beexpected to preclude or impair the ability of the am-munition to perform as intended. Items identifiedwith a Condition Code of “E”, “F”, “G”, “H”, “P” or“V” are categorized as unserviceable.

5.1.2.2 Minor Maintenance. This term is generallysynonymous with Intermediate maintenance. Normallyincludes cleaning, painting, repackaging, restenciling,and corrosion control (exterior maintenance normallyassociated wtih Condition Code “E”).


5.1.3.1 Resource Sponsor. The OPNAV resourcesponsor for maintenance is N411.

a. Provides resource management, policy, over-all monitoring, and direction for ammunition mainte-nance funding.

b. Provides coordination with other resourcesponsors in developing a consolidated maintenancebudget submittal to best meet the needs of the Fleet.

c. Oversees the development, coordination, andjustification of the requirements stated in the Mainte-nance Planning Objectives Memorandum (POM) andbudget submittals.

5.1.3.2 Program Manager (PM).

a. Provides program management, policy, over-all monitoring, and direction for the maintenance ofammunition.

b. Develops, coordinates, and justifies the re-quirements stated in the maintenance POM and bud-get submittals.

c. Provides peactime, surge, and mobilizationmaintenance requirements and priorities to theSMCA.

d. Allocates, as appropriate, Operations &Maintenance Navy (O&MN) funding and work re-quest orders to accomplish in-service engineeringfunctions incident to maintenance.

e. Provides a Military Interdepartmental Pur-chase Requirement (MIPR) to the SMCA for mainte-nance work to be performed by an SMCA activity.

f. Provides funding to Fleet Weapon Stations(WPNSTAs) for maintenance work to be performedby that activity.

g. Reviews and when appropriate, approvesmaintenance activity requested or recommended devi-ations which are classified as major or critical.



5-1-3

h. Provides guidance to the In-Service Engineer-ing Agent (ISEA) concerning their responsibility foritems undergoing maintenance.

i. Arbitrates and resolves engineering and tech-nical disagreements between the ISEA and the cogni-zant Design Agent (DA).

j. Review critical or interfacing engineeringchange proposals affecting items undergoing mainte-nance.

5.1.3.3 Design Agent. The DAs are assigned engi-neering and design responsibilities including develop-ment and maintenance of design documentation formodified ammunition items (including support equip-ment) under their respective cognizance’s. Specificresponsibilities and assignments are outlined in Figure5-1-2.

5.1.3.4 In-Service Engineering Agent. The ISEA isassigned engineering responsibilities for maintenanceof in-service assets. The ISEA does all the monitoringand coordination for all maintenance performed by

either the WPNSTAs or the SMCA. They are theprimary interface for WPNSTAs and the SMCA forSMCA activities. Specific responsibilities and assign-ments are outlined in Figure 5-1-2.

5.1.3.5 Naval Operational Logistics Support Center-AMMO (NOLSC-AMMO).

a. Collects, records, and maintains the supplydata essential to the maintenance process.

b. Tracks and monitors maintenance items duein from SMCA and Fleet WPNSTAs activities. Pro-vides status to the PM and stocking points pro-grammed to receive the material back into active in-ventory.

c. Generates Military Standard Requisition andIssue Procedure (MILSTRIP) prepositioned materialreceipt cards to alert consignee activities of shipmentsdue-in from maintenance facilities.

d. Provides periodic reports of overdue ship-ments.



5-1-4

PEO-IWS


Asst. Secretary of the Navy(Research Development and

Acquisition) (ASN-RDA)

Design Agent

In-Service EngineeringAgent

Quality Evaluation Agent

Engineering Agents

JOCGMaintenance

Subgroup

NVLNOSMCA

Army Contractor Commercial Contractor

PEO-IWS3C

Navy Gunnery ProjectOffice

APMConventional Ammunition

Fleet Weapons Stations

NOSSA

Figure 5-1-1. Maintenance Management Organizational Relationships



5-1-5

Organizational Intermediate Depot

GUN and LANDING PARTY AMMUNITION

Breakout, visual inspection, andpreparation for loading.

Packaging and/or palletizingcomplete round or components.


Compliance with NARs. Cleaning and painting. Component replacement.

Compliance with TechnicalDirectives (TDs).

Compliance with NARs. Painting and corrosion control.

Upload and download fromoperational commitments.

Compliance with TDs. Compliance with NARs.

Compliance with TDs.

PYROTECHNICS and DEMOLITION MATERIALS

Breakout, visual inspection, andpreparation for loading.



Compliance with NARs. Compliance with NARs. Compliance with NARs.

Compliance with TDs. Compliance with TDs. Compliance with TDs.


SHOULDER-FIRED MISSILES/ROCKETS

Breakout and visual inspection. Packaging and/or palletizingcomplete round or components.


Compliance with NARs. Visual inspection of containers. Component replacement.

Compliance with TDs. Replacement or repair of minorcomponents.

Painting and corrosion control.


Compliance with NARs.


Visual inspection and refurbishmentof containers.

Compliance with NARs.


CADs/PADs

Breakout and visual inspection. Breakout and visual inspection. Breakout and visual inspection.

Install and replace. Install and replace. Install and replace.

Compliance with NARs. Compliance with NARs. Compliance with NARs.

Figure 5-1-2. Specific Responsibilities and Assignments



5-2-i

CHAPTER 5.2

Maintenance Process

Table of Contents


5.2.1 Maintenance Planning 5-2-1

5.2.2 Maintenance Cost Reimbursement 5-2-2

5.2.3 Maintenance Documentation 5-2-3

5.2.4 Maintenance Execution 5-2-3



5-2-1

CHAPTER 5.2

Maintenance Process

5.2.1 Maintenance Planning.

5.2.1.1 General Chief of Naval Operations (CNO)Guidance. The CNO has promulgated OPNAVINST4850.1 to maximize Fleet readiness by providingpolicies for the programming, planning and executionof maintenance programs for Naval conventionalordnance.

a. Acquisition Program Managers (APMs orPMs) are responsible for preparing Program ObjectiveMemorandum (POM)/Budget submissions for reworkof Naval conventional ordnance shall program formaintenance of total projected unserviceable invento-ry as reported in Ordnance Information System (OIS-W). This shall not exceed the total requirement pub-lished in the standard Non-Nuclear OrdnanceRequirements (NNOR) or the constrained NNORwhichever is the larger requirement.

(1) Those items not included in the NNORshall have maintenance requirements based on adocumented baseline such as shipfill, combat con-sumption, training pipeline or component attrition/fail-ure.

b. Unfunded maintenance requirements carriedforward from prior years will be phased in futureyears in a manner to ensure that the additional re-quirement can be absorbed by the maintenance facili-ties.

c. Ordnance whose Ready For Issue (RFI) as-sets exceed war reserve objectives or which are notrequired by the scenarios prescribed for planning willnot be programmed for maintenance. Plans for longterm storage of these assets will be developed to en-sure adequate surveillance and protection for potentialfuture use.

5.2.1.2 2T Cog Five Year Maintenance Plan. The 2TCog Five Year Maintenance Plan is a comprehensiveplan which identifies 2T Cog item projected (Budgetyear + four) maintenance requirements, projected costsand funding requirements, as well as the performingactivity for maintenance. Performing activities for

planned maintenance may be either Fleet activities orSingle Manager of Conventional Ammunition (SMCA)activities. In cases where maintenance is to beperformed at SMCA activities, the maintenance work-load identified in the Five Year Maintenance Plan willbe planned through the SMCAs Integrated Convention-al Ammunition Maintenance Plan (ICAMP) process.

a. The Primary Maintenance Program objectiveof the Five Year Maintenance Plan is to provide acomplete planning document which integrates AssetReadiness Objectives and planned 2T Cog item pro-curements, asset usage, and asset degradation into themaintenance planning process. The plan provides acomprehensive source of maintenance requirementsthat identifies items to be maintained, location of re-work, components required, technical documentationrequirements, and funding/cost requirements.

b. Input data and devices for generation of theFive Year Maintenance Plan:

(1) Worldwide OIS-W asset data.

(2) Planned Future Years Defense Plan(FYDP) procurement, projected Navy Non-CombatExpenditure Report (NCEA) consumption, and acquisi-tion objectives for the FYDP for material planningstudies.

(3) Projected receipts from the maintenanceprocess on retail and wholesale stocks.

(4) Projected receipts of repairable ordnancegenerated by Fleet-returned ordnance from projectedship offload schedules in the Receipt, Segregation,Storage and Issue (RSS&I) model.

(5) Projected repairable ordnance due to ord-nance degradation from Quality Evaluation Coordina-tor (QEC)/Quality Evaluation Activities (QEA) datafiles and from U.S. Marine Corps and U.S. Navyplanned test results.

(6) Average unit maintenance cost, from sta-tion stabilized rates, or Depot Maintenance Work



5-2-2

Requirements (DMWR) work-hour norms from theSMCA, or from contractor maintenance rates.

c. The Five Year Maintenance Plan is publishedbi-annually to coincide with the submission of pro-jected (Budget year + four) maintenance require-ments, material requirements, and technical data, tothe SMCA for input into the ICAMP. Publishingdates for the Five Year Maintenance Plan are as fol-lows:

(1) 31 January. Five Year Maintenance Planpublished for initial submission to SMCA for the draftICAMP.

(2) 31 July. Five Year Maintenance Planupdated to reflect any new/updated maintenance re-quirements prior to the final ICAMP.

d. The Five Year Maintenance Plan consists ofthe following documents:

(1) Five Year Major Maintenance Plan. Thisdocument contains the latest planned maintenanceprojects, and is based on such criteria as fundingconstraints, mission requirements, and componentavailability. The Five Year Major Maintenance Planidentifies location of rework (Fleet activities or SMCAfacility), and estimated unit costs for maintenance ofplanned 2T Cog items.

(2) Technical Documentation Requirements/Status Report. This document identifies the currentstatus of the required technical documentation neces-sary to meet the Maintenance Plan(s) schedule.

(3) Five Year Component Requirements Listas Identified by Project. This document is a listing ofcomponents that are to be provided as GovernmentFurnished Material (GFM) to the maintenance activi-ties.

(4) Component Shortfall List. This documentis a listing that identifies component shortfalls whichmay necessitate procurement actions.

(5) Five Year Maintenance Component Plan.This document provides backup data utilized in thegeneration of the Component Shortfall List.

5.2.1.3 Integrated Conventional Ammunition Mainte-nance Plan (ICAMP). The ICAMP presents an inte-grated wholesale ammunition maintenance plan con-taining the complete maintenance plan of each Service

for next five fiscal years (including the Navy’s 2T Cogfive year maintenance plan). The final SMCA publica-tion is the result of a joint service process. TheICAMP covers both reimbursable and non-reimburs-able maintenance on a line item basis. The ICAMP isthe document used for forecasting and planningworkload. The ICAMP data is provided electronically.The schedule for developing and publishing theICAMP is as follows:

a. 31 January - Services submit projected main-tenance requirements (budget year + 4) and materialrequirements and technical data (budget year + 1) tothe SMCA.

b. 30 April - SMCA provides first draft ICAMPto the services.

c. 15 May - Services review recommendations/resolutions plus provide program changes.

d. 15 July - Semi-final ICAMP to the Servicesfrom SMCA for concurrence.

e. 31 July - Quad-Service Maintenance Review(QSMR) conducted. Concurrence/changes to SMCAfrom Service(s).

f. 12 August - Final ICAMP printed.

g. 1 September - Final, approved, coordinatedICAMP submitted to OSD through HQ, Departmentof the Army (HQDA), and copies distributed. Addi-tionally, subsequent budget year + 4 planning cyclebegins.

5.2.2 Maintenance Cost Reimbursement.

5.2.2.1 Major Maintenance.

a. Major maintenance performed by a FleetWeapons Station (WPNSTA) on Navy ammunition ison a reimbursable basis. Requirements and cost arenegotiations by the PM and the WPNSTA. Funding isprovided by the PM to the WPNSTA.

b. Major maintenance performed by the SMCAon Navy wholesale stocks is on a cross-service (reim-bursable) basis. The Joint Ordnance CommandersGroup (JOCG) Joint Conventional Ammunition Poli-cies and Procedures (JCAPPs) have been approved bythe Office of the Under Secretary of Defense (Ac-quisition, Technology and Logistics) as an alternativeto the corresponding chapters of the DoD 5160.65-M,



5-2-3

Single Manager for Conventional Ammunition (Im-plementing Joint Conventional Ammunition Policiesand Procedures). Requirements and cost negotiationsare submitted by the PM to the SMCA in accordancewith JCAPP 06, Maintenance. A funding account isprovided by a MIPR, and billing is submitted by theSMCA when work is completed.

5.2.2.2 Minor Maintenance.

a. Minor maintenance performed by a FleetWPNSTA on Navy ammunition is performed on areimbursable basis, in the same manner as majormaintenance at a Fleet WPNSTA.

b. Minor maintenance performed by the SMCAon Navy wholesale stock is on a common-servicebasis (non-reimbursable) as stated in JCAPP 06,Maintenance. The SMCA plans and budgets for stor-age and warehousing of all material in its custody.Storage and warehousing funds are used for storageand minor maintenance processes. These funds areallocated by the SMCA to storage activities based onprojected workload. Semi-annually, the Services willsubmit a prioritized list of assets requiring upgradethrough non-reimbursable maintenance. This list willbe submitted in January with their ICAMP data. Itwill be finalized in August in conjunction with theQuad Service Maintenance Review (QSMR).

5.2.3 Maintenance Documentation.

5.2.3.1 Depot Maintenance Work Requirement(DMWR). The DMWR is developed by the ISEA toconvey the mandatory technical information on ord-nance maintenance and demilitarization operations tomaintenance activities, in accordance with MIL-PRF-63012B(1). The DMWRs show special safety,technical, and production inspection requirements;tooling and equipment to be used; methods; proce-dures; materials; and document references. Mainte-nance activities use the DMWR to write a StandardOperating Procedure (SOP) for the assigned mainte-nance operation.

5.2.3.2 Configuration Management (CM). CM mustbe maintained through all maintenance actions whetheron a single ordnance item or a complete ammunitionlot. The processes below must be maintained fromtheir initiation during the acquisition process describedin Section 3.4.

a. Approval for Navy use. If the maintenanceprocedure is taking an existing item in long supplyand converts it to a new configuration, the new con-figuration must be approved by the Weapons SystemsExplosives Safety Review Board (WSESRB) prior tothe conversion.

b. Type Classification. If the maintenance pro-cedure is changing any of the functional characteris-tics of the ordnance item, the type classification mustbe reviewed to see if any changes are required.

c. Hazard Classification. If the maintenanceprocedure is changing any of the explosive character-istics of the ordnance item, the hazard classificationmust be reviewed to see if any changes are required.

d. Lot Numbering/Control Numbers. All mainte-nance actions must be reviewed to determine if theactions require changes in lot numbering and/or con-trol numbering, due to component replacement etc.

e. Deviations, and Engineering Change Propos-als (ECPs). Deviations, and ECPs are handled in thesame manner as during the production process tomaintain a complete audit trail.

f. Automated Data List (ADL). The ADL is thecontrolling configuration management document. Allchanges which occur during maintenance must beproperly recorded in the ADL.

5.2.4 Maintenance Execution. The essential ele-ments to begin execution of a maintenance assignmentare funding from the PM, a DMWR from the ISEA,and the assets on which the maintenance is to beperformed (including any required replacement compo-nents).

5.2.4.1 Scheduling. If the maintenance is to beperformed by a Fleet WPNSTA, the ISEA will selectthe site and schedule the maintenance as coordinatedwith the PM. If the maintenance is to be performed byan SMCA activity, the SMCA will select the site andschedule the maintenance as coordinated with the PM.If the assets are not located at the maintenance facility,the Inventory Manager (IM) at Naval OperationalLogistics Support Center-AMMO (NOLSC-AMMO)will be directed by the PM or ISEA to transfer theassets to the maintenance facility in time for thescheduled maintenance.

5.2.4.2 Maintenance Status. The following reports areavailable to keep the PM/ISEA informed of the



5-2-4

maintenance status and when the assets will bereturned to the active RFI inventory.

a. Ammunition Maintenance Progress ReportingSystem (AMPRS). The report is submitted monthly tothe ISEA at NSWCDIV Crane. It is used by all sur-face ammunition maintenance activities to facilitatereporting maintenance progress on a timely basis.This data in turn is utilized to formulate progressreports for the PM. The AMPRS report contains thefollowing data on all funded maintenance projects.

(1) DoDIC, OIS Control Group Family, andany Local Control Numbers.

(2) Quantity.

(3) Condition Code.

(4) Unit Cost.

(5) Total Funded Cost.

(6) Monthly Planned Schedule.

(7) Inducted Units.

(8) Accepted Units.

(9) Actual Unit Cost on Completed Items.

(10) Actual Work-hours.

(11) Month Complete.

(12) Funds Balances/Overruns.

(13) Remarks, with detailed explanations offallout, overruns, deviations, changes in Scope ofWork, or any other data crucial to the funded assets.

b. SOSMA Form 38s. For maintenance and pro-duction within the SMCA, monthly delivery statusreports are furnished on SOSMA Form 38s to the re-quiring Service, advising of the progress. See Volume3, Chapter 3.3 for information on Form 38s.

c. Procurement/Renovation/Production File. AsIM, NOLSC-AMMO maintains a central Procurement,Renovation, and Production (PRP) status file for ord-nance items, in OIS-W. See Volume 3, Chapter 3.3,for information on this file.

d. Prepositioned Material Receipt Cards(PMRC). NOLSC-AMMO’s loading of deliveryschedules into the OIS-W maintenance files enablesthe establishment of due-ins and the generation ofPMRCs to prospective receiving field activities. SeeVolume 3, Chapter 3.3 for information on PMRCs.



6-i

SECTION 6

Inventory Management

Table of Contents


6.1 Inventory Management System Overview 6-1-1

6.2 Allowance Lists 6-2-1

6.3 Cataloging and Item Identification Systems 6-3-1

6.4 Receipt, Segregation, Storage, and Issue (RSS&I) 6-4-1

6.5 Requisition and Return Management 6-5-1

6.6 Transaction Reporting 6-6-1

6.7 Stratification Process 6-7-1



6-1-i

CHAPTER 6.1

Inventory Management System Overview

Table of Contents


6.1.1 General 6-1-1

6.1.2 Ordnance Distribution and Stocking 6-1-1

6.1.3 Automated Systems Support 6-1-3


Figure Title Page

6-1-1 Inventory Management Organizational Relationships 6-1-2



6-1-1

CHAPTER 6.1

Inventory Management System Overview

6.1.1 General. This chapter addresses functionalareas of inventory management. This includes thedistribution and stocking of non-nuclear ordnance; andrequisitioning, returning, issuing, receiving, and storingof ordnance items.

6.1.1.1 Asset Allocation. The inventory managementfunctions pertain to the management of a multi-billiondollar inventory consisting of a wide range of enditems and components. These items represent theaggregate material on hand, or due in, needed tosatisfy the Total Munitions Requirement (TMR), thesum of War Reserve Material Requirements (WRMR)and Training and Testing Requirement (TTR) stockingobjectives, afloat and ashore. Total Fleet requirementsare allocated in accordance with OPNAV allocationletters, and within budget constraints. Shortages tothese allocation goals are satisfied mainly through newproduction or maintenance actions. Assets due in fromproduction are consigned on a “fairshare” basis tostaisfy claimant WRMR/TTR shortfalls. Conventionalordnance is allocated and distributed to the alfoatforces to fill allowances of combat and auxiliary ships.A distinctive feature of the ordnance material manage-ment system is the positioning of retail replenhishmentstocks at tidewater locations to facilitate over-the-dockaccessbility for onloading and offloading of combat-ants and auxiliary ships.

6.1.1.2 Perspective. The primary focus of inventorymanagement is to develop an asset distribution plan tobest meet the needs of the Fleet and all other NCEAusers, and to manage the available ordnance assetsaccording to that plan within the fiscal constraintsapplied by the Navy budget. Maintaining the rightordnance, in the right material Condition Code (C/C),at the right stockpoint (with accurate visibility of theassets in the automated inventory systems) at each ofthese retail stock points a primary management chal-lenge.

6.1.1.3 Organizational Relationships. The organiza-tions involved in inventory management are spreadthroughout the Navy organizational structure. Figure6-1-1 identifies the organizations involved in the

inventory management processes and their relationshipto each other. The following sections will describe theinventory management processes and identify theorganizational responsibilities for those processes.

6.1.2 Ordnance Distribution and Stocking.

6.1.2.1 Inventory Stockage Concept. DoD policystates that support activities will provide maximummaterial logistics support for approved forces under aninventory stockage concept that minimizes supplyresponse time. Stockage for each material categorywill be provided by achieving a balance betweenrequired supply performance and economy, consistentwith peacetime operations and combat readiness con-siderations.

6.1.2.2 Supply Source Levels. To facilitate maximuminventory support for approved forces, the customerhas three levels of supply source to draw from. Thefirst level is from their own shipfill, mission load, orservice ammunition allowance which has been tailoredto their mission. This supply is carried with them todraw from, wherever they deploy. The second level ofsupply source is retail-resupply stocks from cargoloads aboard Combat Logistic Force (CLF) ships andsome overseas secondary stocking points, or bycross-decking from other combatants. This supply isavailable to the customer through underway replenish-ment or overseas port visit. The third level of supplysource is from the Continental United States (CONUS)primary and secondary stocking points. This supply isavailable to the customer primarily pierside or atanchorage, and can be from either retail stocks, orwholesale stocks which have been transferred frominland wholesale storage to the retail stockpoint fortransfer to the customer. These CONUS primary andsecondary stocking points support the Fleet by fillingthe ship-fills and mission loads for combatant shipsinitially and “topping them off” as required, at dock-side or by lighterage. Auxiliary ships such as the AEs,AOEs, and AORs are out-loaded by these samestocking points to provide the retail-resupply afloatreplenishment to deployed combatant forces.



6-1-2

JOCGManagement Systems

Subgroup


Requisitions

Production &Maintenance

Due-ins

Requisitions

TypeClassification

DLIS

HazardClassifier

PHS&TEarle

PEO

PM

NOLSC-AMMOLANT

Ordnance Stock PointsEast of the Mississippi

2ND Fleet & CONUS UsersEast of theMississippi

6TH FleetLogistics

6TH FleetStock Points

6TH FleetUsers

7TH FleetUsers

7TH FleetStock Points

3RD Fleet & CONUS UsersWest of theMississippi

Ordnance Stock PointsWest of the Mississippi

NOLSC-AMMOPAC

CFFC

CNSFNOLSC-AMMO

LogisticsResourceSponsor

CNO (N411)JOCGSupply

Subgroup

Army Storage Facility7TH FleetLogistics

NVLNOSMCA

GNOPP

Figure 6-1-1. Inventory Management Organizational Relationships



6-1-3

6.1.2.3 “Pull” Distribution. As a rule, the supplydistribution system for non-nuclear ordnance operatesas a “pull” system, in that material for stock insupport of end-use requirements is drawn down fromthe supply source. By this system, ordnance itemsneeded to support allowances and/or satisfy noncombatexpenditures are requisitioned by the local Weapons/Ordnance Officer.

a. The pull system depends on local initiative indetermining future shortages to requirements and ini-tiating material requests in a prescribed manner. Thefollowing are examples of requirements that are req-uisitioned (“pulled”) from the supply source: stock-point requirements for authorized load plans and al-lowance items, material to support ordnanceevaluation and maintenance projects, and replacementof issues to ships and local activities from stock.

b. It is important to note that requisitions forstock do not necessarily trigger redistribution actionsbetween stockpoints. In situations where stock reloca-tion between the holding and requiring activities isuneconomical, requisitions for replenishment may besatisfied by assets due from procurement or mainte-nance, by statistically earmarking a portion of theassets for the requiring activity. This earmarking isaccomplished by the Naval Operational LogisticsSupport Center (NOLSC-AMMO) Inventory Manager(IM) working with the Acquisition or MaintenanceManager to modify the destination(s) listed on theprocurement or maintenance contract.

6.1.2.4 “Push” Distribution. In contrast to pulling(requisitioning) requirements, items from production ormaintenance are pushed (allocated) to activities. Alsoitems may be pushed to activities to accommodatemajor changes or readjustments to the Fleet’s stockdistribution patterns. The FLT Combatant Commandersprovide direction for the positioning of shipfills,WRMR, and TTR stocks.

6.1.3 Automated Systems Support. To assist in themanagement of ordnance assets at retail stockingpoints and user activities, automated systems havebeen developed and installed throughout the Fleet andsupport activities. The Retail Ordnance LogisticsManagement System (ROLMS) has been developed tooperate on an “open system environment” which willallow the users to place it on Windows operatingsystems, regardless of hardware platform. Specifically,the ROLMS application utilizes the Oracle RelationalData Base Management System (RDBMS) and oper-ates in a client/server environment or in a stand-alone

Personal Computer (PC) mode under Windows 95,Windows 98, Windows NT, or Windows 2000. Addi-tional Windows operating systems are evaluated forROLMS compatibility as they are made available. Inthe client/server environment, the Oracle RDBMSresides on the server, which can be a UNIX orWindows NT Server operating system. The client PCworkstations can run any of the Windows 95, 98, NTor 2000 operating systems that utilize Oracle SQL*NET software to communicate with the RDBMS.Within the Navy Marine Corps Intranet (NMCI)ROLMS appears to function satisfactorily in theclient/server environment only. Small activities thatrequire a stand-alone installation would need to placeit on a PC other than an NMCI PC. Present estimatesare that in FY–06 a migration of ROLMS to a fullyweb based environment within the Ordnance Informa-tion System (OIS) will begin. When the migration iscompleted any PC on NMCI or otherwise, with abrower and access to the Internet, will be able to useROLMS.

6.1.3.1 ROLMS is an ordnance inventory and man-agement system designed for use by all Marine Corpsand Navy shore and afloat activities.

a. ROLMS is designed and centrally managedby NSWCDIV Crane to provide a multi-level automa-tion tool to be used by any retail ordnance stock-point or user activity/unit. Due to the system beingdesigned for an “open systems environment,” thecomputer hardware is no longer centrally managed.The system is tailored to best support each individualcommand’s needs by loading only the modules andsub-modules that will be used. This flexibility im-proves the support to the Fleet and reduces systemmaintenance cost. As an individual command’s mis-sion changes, the system can change with it by add-ing or deleting modules as required. ROLMS stand-alone operates on a PC, with the ROLMS Client/Server version providing client/server networking ca-pabilities for multi-user access to the database. Thesame software is available to all users, regardless ofthe equipment operating environment.

b. ROLMS users are able to customize the sys-tem to best fit their activity needs. Standardized soft-ware for all configurations allow for selectable func-tionality. An activity can choose modules when it isavailable and if their system has enough memory,disk space and processor speed. The ROLMS applica-tion software can include the following functionality.

(1) Inventory - to the specific grid location.



6-1-4

(2) Requisitioning.

(3) Issue/Receipt Reporting.

(4) Expenditure Reporting.

(5) Asset Maintenance.

(6) NAR Processing.

(7) Transaction Reporting (either AmmunitionTransaction Reporting (ATR) or Transaction ItemReporting (TIR)).

(8) Space Management - including Net Ex-plosive Weight (NEW) Management for Explosive Arcand Compatibility Management.

(9) Load Plan Management.

(10) Excess/Disposal Processing.

(11) DD Form 1348-1A and shipping labels.

(12) Bar Code Processing.

c. ROLMS interfaces with various systems toexchange data and information. Specifically:

(1) NOLSC-AMMO Ordnance InformationSystem-Wholesale (OIS-W) for Navy and MarineCorps aviation ordnance inventory data.

(2) Marine Ammunition Accounting and Re-porting System (MAARS II) for Marine Corps groundordnance inventory data.

(3) Total Ammunition Movement Manage-ment System (TAMMS) for internal activity trans-portation.

(4) Transportation Coordinator’s AutomatedInformation for Movement System II (TCAIMSII) forsupport of movement to and load planning of NavyAmphibious Ships and Maritime Prepositioned Force(MPF) Ships.

(5) Defense Transportation Tracking System(DTTS) for ordnance transportation satellite tracking.

(6) Combat Ammunition System (CAS) forUnited States Air Force (USAF) assets reported inROLMS.

d. ROLMS provides for numerous ways of ex-changing data with other systems, including FileTransfer Protocol (FTP), Streamlined Automated Lo-gistics Transmission System (SALTS), and DefenseAutomated Addressing System (DAAS). Activitycommunication access is dependent upon the activi-ty’s communication capabilities.

6.1.3.2 Total Ammunition Movement ManagementSystem (TAMMS).

a. TAMMS is used to manage a station-wideNet Explosive Weight (NEW) load plan.

b. TAMMS was designed by Naval WeaponsStation Seal Beach Det., Concord to provide a tool toNaval Weapons Stations (NWS) for ordnance dis-tribution management within the station. The comput-er software is centrally managed by NWS Seal BeachDet., Concord. TAMMS maintains an automated loadplan that contains all valid conveyance locations andthe NEW allowed at each location. Locations may begrouped into arcs or viewed separately. As railcars,trucks, barges, ships, or other conveyances aremoved, TAMMS compares their laden NEW to theNEW allowed in a specified area. TAMMS generatesimmediate online warning messages to operatorswhen NEW limits may be exceeded as the result of aproposed conveyance move. Warnings are also gener-ated for a number of other conditions, including over/under-loaded conveyances and material incompatibili-ty. TAMMS also records the fire hazard, securityclassification, and transportation codes for all materi-al stored in conveyances. This will ensure that con-veyances will be spotted in appropriate security areas,and provide fire fighters with valuable hazard infor-mation.

6.1.3.3 Defense Automatic Addressing System Center(DAASC). https://www.daas.dla.mil/daashome/. Thecenter’s system located in Dayton Ohio acts as thecentral distribution control point for DoD messagetraffic. The system receives message traffic from allsources and directs it to the appropriate destination (s),by message or electronically through dedicated phonelines. DAAS directs ATRs to the appropriate destina-tion(s) without any processing actions. DAAS pro-cesses the other ordnance transactions received (i.e.,requisitions) and then directs them to their appropriatedestination(s).

6.1.3.4 Army Systems. The Army has three systemsto support wholesale ordnance management.



6-1-5

a. Standard Depot System (SDS). SMCA ord-nance activities use this sytem to communicate direct-ly wtih OIS-W through DAAS on Navy Ordnanceitems not assigned to the SMCA, and through theCCSS on Navy ordnance items assigned to theSMCA, which are located at that activity. SDS is thesource of raw inventory data at the various U.S.Army depot storage activities.

b. Visibility Information Stroage Tool for Am-munition (VISTA) is an interface to enable users toaccess SDS data in a user-friendly web-based format.It is commonly used by Army plant and depot per-sonnel, Army, USMC, USAF, Navy HQ and NOLSC-AMMO personnel. Vista is maintained by the DefenseAmmunition Center (DAC). The SDS data is updatednightly. It requires a password and login ID. It can beaccessed at https://www2.dac.army.mil/vistalogin.aspfor users with .mil or .gov registered IP addresses, or

at https://www4.dac.army.mil/vistalogin.asp for userswith an at .com or not registered IP addresses.

c. Ammunition Stockpile Reporting Program(ASRP) is in use at the Joint Munitions Command,Rock Island, IL. It has world wide coverage fed fromthe SDS. It is similar to VISTA such that it providesa user-friendly interface to access the SDS data.However, it has broader functional capability thanwhat is available from VISTA. ASRP’s SDS data isalso updated nightly.

d. Commodity Command Standard System(CCSS). This is the headquarters level managementsystem similar to OIS-W. The system resides at theJoint Munitions Command (JMC), Rock Island, IL.,and communicated electronically with OIS-W throughDAAS on SMCA assigned ordnance located at SMCAactivities.



6-2-i

CHAPTER 6.2

Allowance Lists

Table of Contents


6.2.1 General 6-2-1

6.2.2 Types of Allowances 6-2-1

6.2.3 Global Naval Ordnance Positioning Plan (GNOPP) 6-2-2

6.2.4 Applicability of Allowance Lists 6-2-3



6-2-1

CHAPTER 6.2

Allowance Lists

6.2.1 General.

6.2.1.1 Background. U.S. Navy combatant ships areconstructed to accomplish specific missions whichinclude certain capabilities such as antisubmarine war-fare, anti-air warfare, and surface-to-surface warfare.Based on the armament and weapons systems selectedby the Ships Characteristics Improvement Panel toaccomplish the required mission, and CNO guidance forminimum rounds per weapon or per ship and typeratios (projectile/powder mix), the Type Commander(TYCOM), Commander Naval Surface Forces (CNSF)or the Major Claimant sends an ammunition allowanceestablishment message to Naval Operation LogisticsSystem Center (NOLSC-AMMO). A provisional allow-ance list is prepared by NOLSC-AMMO and distributedfor validation. This is done 60 days prior to thecompletion of the fitting out period for submarines.

6.2.1.2 Purpose. The allowance lists represent aportion of the Fleet combat requirements developedduring the Department of Defense Munitions Require-ments Process (DoDMRP) described in DodI 3000.4.The prime purpose is to specify the individual com-mand’s portion of the combat ordnance requirement tomeet the assigned threat. The requirements deerminationprocess, described in Chapter 2.3 of this volume, buildson this, along with other factors. The secondarypurpose, used along with the annual Non-CombatExpenditure Allocation (NCEA), is to provide theNOLSC-AMMO Inventory Manager with a control toolto authorized or deny requisitions received from theFleet.

6.2.2 Types of Allowances.

6.2.2.1 NAVSEA Allowance Lists (30,000 Series). Anindividual allowance list is prepared for each ship inthe active and reserve Fleets, for certain Fleet groups,detachments, units and shore activities, and for AdvanceBase Functional Component (ABFC) (U.S. NavalConstruction Force) initial outfitting. NOLSC-Ammoloads the NAVSEA 30,000 series allowance data in theNOLSC-AMMO Ordnance Information System-Whole-sale (OIS-W). As changes and adjustments to serviceallowances occur, revised NAVSEA Allowance Lists aresuffixed to indicate revisions (e.g., the first revision to

NAVSEA List 31,000 is 31,000A). Separate allowancelists called cargo load or mission load allowances areissued for ships that carry ordnance in support of otherFleet units. Cargo and mission allowance quantities aredetermined by Commander Fleet Forces Command andtheir TYCOMs e.g., CNSF and other Major Claimants.The various allowance lists are described as follows:

a. Shipfill Allowance Lists. NAVSEA lists 30,000through 33,999 series. An approved war allowance ofordnance required to support:

(1) Ship’s own permanently installed arma-ment.

(2) Ship’s authorized small arms weapons.

(3) Ship’s distress and signaling pyrotechnicrequirements.

b. Shipfill allowance lists contain full wartime al-lowances of service ordnance designed to fill the ship’smagazines to capacity, without regard to ordnance itemavailability in stock.

c. Provisional Allowance Lists. COMNAVSEA-SYSCOM lists 30,000 through 33,999 series. A provi-sional allowance list is a preliminary listing of an initialshipfill allowance of service ordnance prepared and for-warded to the ship and the TYCOM (appropriate“Forces” Command e.g., surface, air, or submarine) byNOLSC-AMMO for validation of compatibility with ar-mament systems and stowage capability. Shipfill allow-ance lists replace provisional allowance lists after val-idation by the Fleet Commanders.

d. Cargo Load Allowance Lists. NAVSEA lists34,000 through 34,999 series. An approved listing ofordnance (all cogs) carried as cargo for underway re-plenishment (UNREP) issue to support other Fleetunits, Cargo load allowances are for Military SealiftCommand (MSC) ships, e.g., TAEs, and are issued as aseparate and additional list to the MSC ship’s ownshipfill allowance.

e. Mission Load Allowance Lists. NAVSEA lists34,000 through 34,999 series. An approved war allow-



6-2-2

ance listing of ordnance to be carried in support ofspecialis support/operational requirements of CVN’s foraircraft squadrons based aboard, and by ASs for subma-rines assigned. Mission load allowances are issued foraircraft carriers, maritime pre–positioned ships, amphib-ious warfare ships, and submarine tenders as separateand additional lists to their shipfill allowance lists. Themission load includes Special Warfare Loads, EODloads, or U.S. Marine Corps load.

f. Service/Miscellaneous (Fleet Activity) Ord-nance Allowance Lists for Fleet Groups, Detachments,Teams-NAVSEA Lists 38,000 through 39,999 series. Alisting of full war allowances authorized to an activity(shore station) for it’s own use based on the armamentand mission of the activity. Typical Fleet elements andactivities with service allowance lists are:

(1) Explosive Ordnance Disposal Groups(EODGRUs).

(2) Explosive Ordnance Disposal Detachments(EODDETs).

(3) Mobile Construction Battalions (MCBs).

(4) Beach Master Units (BMUs).

(5) Naval Security Group Activities.

(6) Naval Communications Stations.

In some cases, such as for Amphibious and MobileConstruction Battalions (ACBs and MCBs), sufficientordnance for a number of days support is included inthe allowance to provide for deployment to remoteareas with no nearby source of replenishment. Fleetelements deployed to forward or remote areas willretain custody and provide storage for the ordnance intheir service allowance. Fleet elements on deploymentto theaters with nearby Navy ordnance storage activitiesshould store their ordnance at these activities asreserved stocks. Service allowance ordnance for deploy-able elements in Continental United States (CONUS)may be pre-positioned at nearby Navy ordnance storageactivities for outloading on deployment, or pre-posi-tioned at activities in the theater assigned.

6.2.2.2 Allowance Change Request Procedures.

a. As platforms, armaments or weapons systemschange, it becomes necessary to modify existing NAV-SEA 30,000 series allowance data. Per NAVSUP P-724,Fleet units or other holders of the allowances submit

requests for changes as the need arises. Allowancechange requests are processed the same regardless ofthe type of allowance list. All Fleet or activity NAV-SEA 30,000 series allowance change requests are sub-mitted to NOLSC-AMMO via the operational chain ofcommand, including Commander Fleet Forces Com-mand (CFFC), with parallel distribution to the appropri-ate Acquisition/Program Manager and NAVSURFWAR-CENDIV Crane for any 2T Cog Conventional SurfaceWeapon items. Confidential Naval message format isused for the submission of allowance change requests.The request includes the Unit Identification Code (UIC)of the unit requesting the change, Navy AmmunitionLogistics Code (NALC), Activity Classification Code(ACC) requested, quantity (current & revised) and justi-fication for the allowance change. The message is ad-dressed to the unit’s immediate superior in command,with an information copy to NOLSC-AMMO and NAV-SURFWARCENDIV Crane. NOLSC-AMMO is in-cluded as an information addressee on all allowancecorrespondence for tracking and approval purposes.

b. Fleet Tailored allowances are temporary modi-fications to the NAVSEA 30,000 series combat allow-ances based on theater commander and specific opera-tional requirements. It is the responsibility of the CFFCto establish, maintain, monitor and delete these allow-ances in the Ordnance Information System (OIS-W)when no longer required. NOLSC-AMMO will assist inmonitoring and deleting Fleet tailored allowances.

6.2.3 Global Naval Ordnance Positioning Plan(GNOPP).

a. Naval ordnance positioning planning and exe-cution embodies a global perspective evolving andexpanding in concert with development of a jointNavy/Marine Corps model identified as the GNOPP.Per OPNAVINST 8010.12 (series) the GNOPP pro-vides for distribution of ordnance to forward andCONUS sites based on Defense Planning Guidanceand assessments of the most likely Major TheaterWar or Small Scale Contingency scenarios. TheGNOPP considers storage capacities, most efficientresupply of supported warfighters, and minimizationof strategic lift requirements.

b. The GNOPP is the authorized naval ordnancepositioning process. The GNOPP process model isgoverned by business rules/planning factors (ship-fill,training, shore-based units, resupply) that prioritizeand allocate available ordnance by mission and pur-pose. The CFFC and Marine Force Commanders(MARFORs) are responsible for the GNOPP method-



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ology and consolidation of warfighter, i.e. servicecomponents, inputs. The GNOPP model is managedby the NOLSC-AMMO based on these inputs. TheGNOPP will be issued annually as a two-year plan ina formal Memorandum Of Agreement (MOA) that isapproved by CNO (N3/N5, N4) and CMC (A, CS,AVN, PPO) by 30 September each year. The businessrules can be modified to allow changes to globaldistribution as required by OPLAN/CONPLAN revi-sions.

6.2.3.1 Chief of Naval Operations (CNO).

a. Establishes the basic operational missions capa-bilities for all active and reserve ships, Fleet groups,units, detachments, teams and shore activities.

b. As system improvements evolve, approves theupgrade of existing ships’ capabilities.

c. Provides quantitative and type ratio (projectile/powder mix) guidance for ordnance to be included inshipfill and activity service allowances.

6.2.3.2 CFFC and MARFORs.

a. Submit to NOLSC-AMMO, proposed changesto NAVSEA 30,000 series allowance lists for ship-fill, mission loads, and cargo loads based on CNOapproved combat requirements.

b. Develop tailored allowance lists from whichafloat activities will submit requisitions to meet Uni-fied Combatant Commander requirements.

6.2.3.3 Approval and Processing of AllowanceChange Request Procedures.

a. Upon receipt of allowance change requestsand endorsements thereto, NOLSC-AMMO reviewsthe package for required updates based on all en-dorsements, verification of current NALC and associ-ated components, and quantity in accordance withunit pack.

b. When the NOLSC-AMMO review is com-pleted the changes are made to OIS-W and a messageis prepared to release an updated allowance list withnew revision letter and date, via confidential Navalmessage to the originator and the appropriate chain ofcommand.

6.2.3.4 PEOs/PMs. Ordnance PEOs/PMs will validatethe portion of the allowance list covering their

ordnance, when received from NOLSC-AMMO forreview. They will also include substitutes, alternatives,and preferred configurations.

6.2.3.5 Fleet Units and Shore Activities.

a. Fleet ships validate their provisional allow-ance lists and advise NOLSC-AMMO of any discrep-ancies between allowance items and installed arma-ment, and any deficiency in capability to properlystow allowance quantities in ship’s magazines.

6.2.4 Applicability of Allowance Lists.

6.2.4.1 General.

a. Shipfill Allowances. Shipfill allowances pro-vide the ship with a supply of preferred ordnance insupport of the ship’s mission. Allowances should con-tain maximum quantities consistent with ship’s maga-zine capacity, to ensure maximum substantiality with-out replenishment.

b. Service ordnance authorized for expenditureto meet NCEA should be used from the onboard ser-vice ordnance allowance. It should be replenished inaccordance with CFFC policy, and their TYCOM, di-rectives, thus rotating stocks.

c. Ordnance designed for training only, such asVariable Time (VT) Non-fragmenting projectiles orTarget Practice (TP) projectiles, are excluded fromservice ordnance allowances. Exceptions to this arecertain dummy projectiles and charges for cyclingmounts that are part of a ship’s permanent equipment,and TP rounds for firing through muzzle covers.Training ordnance for NCEA should be loaded aboardin addition to, or in place of, service ordnance priorto an exercise or demonstration, and replaced withservice ordnance in accordance with CFFC and theirTYCOM, directives.

d. Service Ordnance Allowances for FleetGroups, Detachments, Teams, etc. Service allowancesfor these Fleet elements are generally predicated on amission scenario basis, in terms of rounds per day.

e. Service Ordnance Allowances for ActivitiesAshore. These allowances are based on amounts re-quired to perform the task (i.e., sufficient destructors/destroyers for the equipment and documents to bedestroyed, or ordnance per weapon to be used bycivilian or military guard force).



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f. Cargo Load and Mission Load Allowances.These are developed by CFFC and their TYCOMs,initially on commissioning of the ship and are pro-mulgated by NOLSC-AMMO as NAVSEA 34,000 se-ries lists. NAVSEA cargo and mission load allow-ances are standard loads used for planning purposes(i.e., for prepositioning standard loads and for mobi-lization planning). Changes required by CFFC toNAVSEA cargo and mission allowances for mobiliza-tion planning purposes are made by formal request toNOLSC-AMMO for a NAVSEA List back to theirinterim allowances or 30,000 series allowances. Tai-lored allowances are promulgated by CFFC and theTYCOMs, not to exceed the normal six month de-ployment of units.

g. Ship-fill, Cargo, and Mission Load TailoredAllowances. Fleet tailored allowances are temporarymodifications to the NAVSEA 30,000 series combatallowances based on theater commander and specificoperational requirements. It is the responsibility ofthe authorized FLTCOM to establish, maintain, moni-tor and delete these allowances in OIS-W when nolonger required. NOLSC-AMMO will assist in moni-toring and deleting Fleet Tailored allowances. Af-fected units may submit requisitions against Fleet Tai-lored allowance quantities.

6.2.4.2 Requirements Determination for Acquisition.

a. Shipfill allowance lists contain the full rangeof level-of-effort service ammunition and threat-ori-ented service weapons in amounts for ships’ installedarmament, and assigned weapons in amounts to fillthe ships’ magazines to capacitiy without regard toordnance availability. These allowance quantities maybe considered as each ship’s long-term notional com-batant shipfill. Shipfill allowance quantities are usedin the determination of requirements for the Program-ming Objective for all ordnance items not covered inthe NNOR and the SECDEF Defense Planning Guid-ance. Primarily, these are medium caliber, pyrotech-

nic, demolition, and small arms and landing partyammunition items.

b. Service ordnance allowances for groups, de-tachments, teams, and activities are used for deter-mining Programming Objective requirements to theextent that these deployable activities are included inOPLANs.

6.2.4.3 Requisitioning Guide and Readiness Baseline.

a. All shipfill allowance lists that have not beenmodified by a tailored allowance issued by CFFC,and their TYCOMs, may be used as requisitioningguides for obtaining an initial outfit on-load uponcompletion of restricted availability or an allowancereplenishment.

b. In the absence of a tailored allowance, theshipfill allowance list is the baseline reference pointfor comparison of onboard inventory to determine thecurrent readiness state. For mobilization planning pur-poses, shipfill, cargo, and mission load 30,000 seriesallowance lists are used to determine readiness state.Any shortfall to these allowance quantities is termeda “Top-Off” requirement.

c. Cargo and mission load allowances are alsoused as requisitioning guides. Cargo and missionloads may have as many as two allowances - tailored,or NAVSEA 30,000 series. Requisitioning should bebased on the tailored allowance or, when directed byCFFC, and their TYCOMs, on the NAVSEA 30,000series allowance list. CFFC/TYCOM tailored allow-ances may contain NCEA ordnance.

d. Determination and reporting of the state ofreadiness is to be accomplished using tailored, orNAVSEA 30,000 series allowance lists, in that order,or as directed by CFFC. Upon mobilization, the NAV-SEA lists will be used to determine top-off require-ments for level-of-effort items.



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CHAPTER 6.3

Cataloging and Item Identification Systems

Table of Contents


6.3.1 Federal Cataloging System (FCS) 6-3-1

6.3.2 Department of Defense Identification Code (DoDIC) System 6-3-7



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CHAPTER 6.3

Cataloging and Item Identification Systems

6.3.1 Federal Cataloging System (FCS).

6.3.1.1 General.

a. The FCS is a commodity classification systemdesigned to identify, describe, classify, and record allitems entering the federal supply system. The FCS ismandated by Title 10, United States Code, Chapter145. DoD4100.39-M, Federal Logistics InformationSystem (http://www.dlis.dla.mil/flis_procedures.asp)sets forth the Federal Catalog Program Policy and re-sponsibilities for implementing the FCS, and outlinesits objectives:

(1) Provide a uniform system of item identifi-cation that describes, classifies, and numbers each itemin the FCS that it is identified by a single NationalStock Number (NSN).

(2) Enhance the operational readiness of DoDorganizational components by improving methods ofitem identification, by improving processing efficiency,and by providing accurate and timely publication ofcatalog data.

(3) Provide the means for monitoring therange and numbers of items entering the supplysystem in order to prevent their proliferation andensure that management systems can operate with theminimum number of items essential to support.

(4) Assemble and maintain integrated catalog-ing records which include the characteristics andselected technical and material management data foreach item of supply.

(5) Record and maintain item interchangeabil-ity and substitutability information.

(6) Promote accessibility and interchange ofFCS data in DoD and with other federal departmentsand agencies and participating NATO and non-NATOCountries.

(7) Ensure the optimal level of catalogingsystems computability and integration with the mission

needs and data requirements of the various DoDorganizational components and other FCS participants.

b. DoD 4100.39-M assigns the responsibility forthe management and administration of the FCS to theDirector, Defense Logistics Agency (DLA). These re-sponsibilities include the development, review, approv-al, and uniform implementation of the FCS operatingprinciples, rules, and procedures; the establishment ofan automated information system; and the developmentand publication of documentation required to operatethe FCS. The Defense Logistics Information Service(DLIS) http://www.dlis.dla.mil/default.asp in BattleCreek, Michigan, is the central repository for the cata-loging records pertaining to all items of supplystocked in the supply system.

c. All processes, services, and publications relat-ing to the cataloging functions of item managementare subject to the policy direction contained in DoD4100.39-M. The logistic functions addressed by theFCS include item identification, design standardization,item entry control, supply, maintenance, material plan-ning, provisioning, procurement, preservation, packag-ing, transportation, warehousing, and disposal. Thus,the FCS provides the basis for a universal language ofsupply by establishing standard rules for identifyingand describing all items of supply.

d. To accomplish the objectives outlined in sub-paragraph a, the various supply commodities are orga-nized into groups, with classes within each group.Each two-digit numerical Federal Supply Group (FSG)identifies, by title, the broad commodity area of theindividual classes comprising the group. Each classrepresents a family of items of supply that are rela-tively similar in their physical or performance charac-teristics or which are combined for supply manage-ment purposes. The DLA cataloging handbook (foundthru the DLIS http://www.dlis.dla.mil/hardcopy.asp),H-2, Federal Supply Classification Groups and Classeslists the classes in FSG 13, Ammunition and Explo-sives. Each item of supply shall be classified in one,and only one, four-digit class of the FSC. The assign-ment of an FSC code number to an item of supplyshall not be influenced by the method and type ofitem identification used to establish the concept of theitem.



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e. For general reference, items within a commongrouping or class are collectively referred to by theitems’ group and class. A significant application of thefour-digit FSC code is its use in structuring the NSN.The 13-digit NSN identifies a specific line item ofsupply, and is configured in the following manner:

1305-00-892-2150

(1) Federal Supply Classification. A four-digitcode comprising the item’s federal supply group andclass (e.g. 1305, 1310, 1315, 1320 etc.).

(2) NATO Code. A two-digit number codewhich identifies the NATO country assigning the stocknumber and/or which indicates that the item isproduced by a country other than the country assign-ing the stock number. For ordnance this code is almostuniformly “00” or “01” which indicates U.S. produc-tion and cataloging cognizance.

(3) National Item Identification Number(NIIN). A nine-digit nonsignificant number thatuniquely identifies an item of supply. The NIINincludes the NATO code and is the primary sequenc-ing element of the NSN. Many catalogs, documents,and listings are in NIIN sequence.

f. NSNs are assigned to all items of supplywhich are centrally managed or procured for supplysystem stock. New items entering the supply systemare generally processed in time to permit assignmentof NSNs by DLIS prior to their shipment from pro-ducers or suppliers. In circumstances where NSN as-signment is delayed and it is necessary to assign atemporary or expedient means of identification, aNavy Item Control Number (NICN) may be assignedby the Naval Operational Logistics Support Center(NOLSC-AMMO). Frequently NICNs are assigned toitems for which contractor delivery must be expeditedprior to completion of the stock numbering process.They are also assigned to items undergoing develop-ment or evaluation or to items awaiting disposal orother action under conditions where the NSN cannotbe determined. NICNs are temporary, pending NSNassignment, and therefore are not included in the DLISfiles. However, those that are assigned by NOLSC-AMMO are included in Ordnance Information System-Wholesale (OIS-W) and reflected in the Navy StockList NAVSUP PUB 803. Examples of the NICN aslisted in Section 2 of the stock list are as follows:

CODE* NIIN FSC COG LL AM2-0051 1305 2T

LL AM2-0062 1376 2T LL AM2-0103 1305 0T LL AM6-0055 8105 2T

*Code LL indicates that the number is locally assigned.

6.3.1.2 Cataloging Responsibilities.

a. Commander, Navy Supply Systems Command(NAVSUP) is responsible for performing the headquar-ters cataloging staff functions defined in DoD4100.39-M and for providing staff support on catalog-ing matters common to the Navy and Marine Corps.This assignment includes developing, implementing,maintaining, and administering the Navy supply sys-tem’s cataloging policy. NAVSUP provides the pro-gram direction for automating cataloging systems andprocedures. It is the Navy’s primary representative incoordinating the Navy support of DLA in developingthe standard operating policies, regulations, proce-dures, and schedules required to implement, operate,and maintain the FCS. As necessary, NAVSUP recom-mends to DLA new or revised management techniquesand procedures to improve Navy interface with FCSpolicies.

b. Program Executive Officer (PEO)/ProgramManager (PM).

(1) Applies the established cataloging policiesto the management of non-nuclear ordnance undertheir cognizance and generates the cataloging datarequired by the PM’s checklist (Attachment (8-4) toNAVSUP P-724).

(2) Initiates, coordinates, and monitors thestock numbering of newly introduced ordnance itemsas directed by NAVSUP P-724.

c. NSWCDIV Indian Head is the Navy’s hazardclassifier for ammunition, explosives and related haz-ardous materials. Ammunition and Explosive HazardClassification Procedures explained NAVSEAINST8020.8B.

(1) Assigns the hazard classification, UNnumber, proper shipping name, and storage NetExplosive Weight (NEW) based on the data submittedby the PEO/PM. The data required is specified in thehazard classification section of the PM’s checklist.

(2) Forwards the above information to theother Services and the DoD Explosive Safety Board(DDESB) for concurrence and forwarding to MilitarySurface Deployment and Distribution Command(SDDC), then on to the Department of Transportation



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(DOT) for approval and assignment of an EX number.See Section 7-1 for additional Information.

(3) Enters the hazard classification, UN num-ber, proper shipping name, storage NEW, and EXnumber into OIS-W.

d. Packaging, Handling Storage & Tranportation(PHS&T), NAVSEA Indian Head Detachment, EarleNJ is the Navy’s agent for ordnance PHS&T documen-tation and information.

(1) Validates accuracy of storage PerformanceOriented Packaging (POP), and shipping catalog data.

(2) Enters the appropriate data on new ord-nance items into their Explosives Safety TechnicalManual System (ESTMS) for the next update of theSW020-AC-SAF-010.

(3) Updates the NEW, storage, POP, andshipping data as directed by the Hazard Classifier.

e. NOLSC-AMMO is the designated ordnancecataloging agent for the Navy and Marine Corps inobtaining the assignment of NSNs and DoDICs fromDLIS.

(1) Obtains NSNs from DLIS for non-nuclearordnance items.

(2) Assigns NICNs to non-stock-numbereditems.

(3) Records the Navy as the Primary Invento-ry Control Activity (PICA). This includes non-SingleManager for Conventional Ammunition (SMCA) itemsand SMCA items not yet transferred or transitioned tothe SMCA. The SMCA is the PICA for SMCA items.

(4) Maintains a Master Ammunition File(MAF) in OIS-W which contains the catalog descrip-tive data applicable to ordnance stock-numbered items.

(5) Maintains the Navy’s master DoDIC/NALC file.

(6) Publishes and distributes change noticesand change bulletins advising field activities and Armyactivities of cataloging changes to Navy owned items.

(7) Disseminates Change Notice Cards(CNCs) to field activities for incorporating safety and

transportation data contained in SW020-AC-SAF-010into the local records.

(8) Publishes and distributes the followingcataloging documents:

(a) NAVSUP P-802. Navy AmmunitionLogistics Codes (NALCs).

(b) NAVSUP P-803. Stock List of NavyAmmunition.

(c) NAVSUP P-804. Stock List of NavyAmmunition Data Supplement.

(9) Performs research, as requested, on un-identified items and advises field activities of theirstatus and disposition.

(10) Registers or withdraws the Navy in theDLIS catalog files as a user of ordnance items.

f. The DLIS, is the designated central repositoryfor the cataloging records pertaining to all items ofsupply stocked in the DoD supply system.

(1) Assigns an appropriate stock number tothe ordnance item submitted by NOLSC-AMMO.

(2) Enters the catalog data, along with theassigned stock number, into their Federal LogisticsInformation System (FLIS), which is the automatedrepository for all DoD supply items.

(3) Publishes and distributes the FEDLOG.

(4) Notifies the Services of the new item andits accompanying catalog data.

g. Activities, ashore and afloat, that stock ord-nance are responsible for incorporating all catalogingchanges to the OIS-W files, into their local stock re-cords. These changes are provided in change noticecards and change notice bulletins issued by NOLSC-AMMO. They include SW020-AC-SAF-010 uniquechanges for ordnance pamphlet data, transportationdata, unit of issue update, packaging data, and supplyinformation updates as reflected in specific change no-tice codes.

6.3.1.3 NOLSC-AMMO Form 724/6 (7/04). Thisform is prepared by the PEO/PM for each newordnance item entering the Navy inventory as de-scribed in NAVSUP P-724. Applicable drawings andother documentation are submitted as enclosures to the



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form. Each data element indicated on NOLSC-AMMOForm 724/6, is mandatory since completeness andaccuracy in identifying an item are critical at the timeof initial cataloging, when such information is morelikely to be readily available. Activities with on-handinventories are dependent on up-to-date OIS-W cata-loging data for supply, packaging, and transportationinformation relative to newly introduced items undertheir management. The end result of thorough andaccurate initial item entry data is the assurance of avalid database for user reference. Upon completion ofprocessing the NOLSC-AMMO Form 724/6 RequestForm, it is returned to the originator by NOLSC-AMMO, with the assigned NSN or NICN.

6.3.1.4 Item Development and Transition. Newlyintroduced ordnance items usually undergo an ReseachDevelopment Testing & Evaluation (RDT&E) phaseleading to Approval for Full Production (AFP). SMCAitems that are developed and introduced by the Navyare managed by the Navy, pending transfer to theSMCA. This transfer is in accordance with formaltransitioning agreements and RDT&E interface policiesand procedures stated in Chapter 2 of DoD 5160.65-M.During the item’s development, Navy liaison is main-tained with the Armament/Munitions Requirements andDevelopment (AMRAD) Committee which is responsi-ble for providing standardization guidance, ensuringthat newly introduced ordnance items meet the com-mon needs of the Services and provide interoperabilitywith items used by NATO. Committee interest general-ly begins when a Service establishes ordnance require-ments and the item enters advanced development. Atthis stage it is the developing Service’s (Navy)responsibility to obtain an NSN from DLIS, and takeaction to record the Navy as PICA. (If the item is tobe transitioned to the SMCA, the SMCA will initiateaction to record itself as the PICA and the “Introduc-ing Service” (Navy) as the Secondary Item ControlActivity (SICA) at the time the item is transferred tothe SMCA). When a stock numbered item is transi-tioned to the SMCA, NOLSC-AMMO provides theJoint Munitions Command with the supply and techni-cal cataloging data required by DoD 5160.65-M.

6.3.1.5 Unidentified Ordnance Items. Field activitiesoccasionally receive (usually as rollback or userturn-in) or discover items with obsolete NSNs, oritems for which NSNs or other identificable informa-tion is not found. To ensure accountability, such itemsare temporarily identified and recorded in the localordnance management system records. Prompt actionis taken to obtain identification and disposition direc-tions from the central Inventory Manager (IM). Stock

numbers assigned at the local level are strictlytemporary, are not incorporated into the OIS-W, anddo not enter into the cataloging system. If the itemcannot be identified to an existing NSN, a formerNSN or used by another program, and the item valueis determined to be greater than $1000.00, theAcquisition/Program Manager or designated agent willsubmit NOLSC-AMMO Form 724/6 to NOLSC-AMMO in accordance with NAVSUP P-724. Unidenti-fied material with an estimated line item transactionvalue of less than $1000.00 may be appropriatelydisposed of locally without NOLSC-AMMO involve-ment. Otherwise, pending identification and dispositioninstructions from NOLSC-AMMO, the unidentifieditem(s) is assigned an interim stock numberconstructed in the following format:

a. Items identified to a deleted NSN: Local stocknumbers for items identifiable to a deleted stock num-ber will be established using the deleted number.

b. Items which are identified by drawing, part,or sketch number only.

(1) The first four digits will be appropriateFSC.

(2) The next 9 digits - will contain thedrawing/or, part number preceded by zeros. There willbe no blanks in the stock number.

Example:

Drawing/Part Assigned LocalNumber Stock Number

P/N 178598 1336-00-017-8598P/N 76Z2843-2 1336-07-6Z2-8432DWG 2513736RevC 1336-02-513-736C

c. Local stock numbers for items which cannotbe identified to a deleted stock number, drawing num-ber or part number, or where the drawing or part num-ber has too many digits will be assigned as follows:

(1) The first four digits will be the appropri-ate FSC.

(2) The next nine digits will be assigned insequence using a locally controlled number beginningwith 000000001.

Example:Item Drawing/Part Number

Igniter, Electric P/N 25-SA000AN28BR



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Local Stock Number:1377-00-000-0001

Item Drawing/Part NumberSpotting Charge Bomb CXU-2/B None

Local Stock Number:1325-00-000-0002

d. In each of the above, it is essential that 13digits (alphanumeric), grouped and hyphenated asshown (with no blanks), are included.

e. Upon return from NOLSC-AMMO of the an-notated NOLSC-AMMO Form 724/6, the followingactions are taken, as appropriate:

(1) Disposal authority provided. Process inaccordance with the directions contained in the Dis-posal Release Order (DRO).

(2) Valid NSN provided.

(a) Delete the assets shown under thelocal stock number by processing a reversal transac-tion using the same Document Identifier Code (DIC)and document number used for the original receipttransaction.

(b) Using the same DIC and documentnumber, process a receipt transaction gaining the as-sets under the NSN provided by NOLSC-AMMO.

6.3.1.6 The Stock List of Navy Ammunition. TheStock List of Navy Ammunition, NAVSUP P-803provides the U.S. Navy and Marine Corps activitiesafloat and ashore with a complete listing of ordnance,components, and related equipment. The stock list ispublished and maintained by NOLSC-AMMO asdirected by COMNAVSEASYSCOM (for surface ord-nance) or by COMNAVAIRSYSCOM (for air ord-nance). All requests for changes to the list or to itsdistribution are directed to NOLSC-AMMO. TheStock List of Navy Ammunition consists of fivesections:

a. Section One. This section is arranged in De-partment of Defense Identification Code (DoD-IC)/NALC sequence and excludes items to whichDoDICs or NALCs are not assigned. The data con-tained in Section 1 is displayed with the followingcolumn headings:

(1) DoDIC/NALC. Self-explanatory.

(2) COG. The two-digit cognizance symbolwhich indicates the broad category of the ammunitionitem (2T, 8T, or 0T), and the ICPs or IMs, asappropriate, having technical and inventory control.

(3) Material Control Code (MCC). The MCCis a one-character alpha code used as follows:

Code Definition

B An item requiring lot number reporting. C An item requiring serial number reporting. E An item requiring both lot number and

serial number reporting, but which is reportedby serial number only.

K An item requiring periodic lot reporting.

(4) FSC and NIIN. The FSC and NIINtogether constitute the NSN of the item.

(5) Index Number. A semi-significant, six-character, alphanumeric number assigned to an item.The first character represents its Navy ordnance class,the remaining five digits are arbitrary. (Examples ofclass indicators are A - bombs and bomb components;B - military pyrotechnics; L - Marine Corps ordnance;R - gun ammunition over four inch.; T - surfacelaunched guided missiles and components). The indexnumber is used to sequence items within their respec-tive classes, as in Section 3 of the stock list.

(6) Item Name and Description. Nomencla-ture of the item, noun name, modifiers, MK and Mod,series/type, etc.

(7) Reference Number. The drawing, stan-dard, specification, or part number used to identify theitem.

(8) Unit of Issue (UI). The item’s unit ofissue.

(9) Price. The item’s unit price in terms of itsunit of issue (procurement price).

(10) Weight. The prorated weight of the itemin pounds (i.e., the bare item weight plus its packagingor share thereof).

NOTE

This weight information is not to be used for ballisticcomputations.



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(11) Cube. The volume of the item in cubicfeet.

(12) Management Organization Entity (MOE)Rule. MOE, a four-digit cataloging code which reflectsthe PICA/SICA relationship and responsibilities fordata collaboration between managers and users. Forexample, A901 indicates U.S. Army as the PICA,N2T4 would indicate that NOLSC-AMMO is thePICA.

(13) Security (SEC). SEC, a one-digit codewhich indicates the item’s security classification (U, C,S or T). For sensitive items that are classified andweigh less than 100 pounds, this code is numeric andis defined to combine the security and sensitivityclassification of the items. Unclassified pilferableitems are coded P.

(14) Demilitarization Code (DEM). DEM, as-signed to an item in accordance with NAVSUP P-485,Appendix 17. This is a single character alpha codeassigned to an item identifying it as a Munitions ListItem (MLI) or a non-MLI and defining the degree ofdemilitarization necessary prior to final disposition.

(15) Issue Restriction Code (IRC). IRC, atwo-digit alpha or alphanumeric code indicating re-strictions applicable to item issue or instructions foritem requisitioning, turn-in, or exchange. A completelisting is contained in NAVSUP Pub 485.

(16) Source Of Supply (SOS). SOS of the itemas indicated by the activity’s three-digit routingidentifier code (e.g., code NCB indicates NOLSC-AMMO as IM for ordnance).

(17) Shelf-Life Code (SLC). SLC, a one-char-acter code denoting the period of time (beginning withdate of manufacture) that the item is expected toremain suitable for issue and use. At the expiration ofthis time, the item should be referred for test ordisposition instructions.

Examples:

Type I Type II Shelf-Life Period

A N/A 1 month B N/A 2 months S 9 60 months 0 0 Non-deteriorative K 5 18 months

An alpha code denotes items for which shelf-life cannotbe extended. A numeric code denotes items for whichshelf-life can be extended. A complete listing of shelf-life codes is contained in NAVSUP Pub 485, Appendix9.

(18) Shelf-Life Action Code (SLAC). SLAC,an alpha or alphanumeric assigned to a shelf-life itemto specify the type of inspection, test, or restorativeaction to be taken when the item has reached itsstorage shelf-life limit.

Examples:

Code Description

00 Non-deteriorative C1 Incorporate all mandatory changes L0 To be tested by the laboratory

or activity in increments after theinitial time limit has expired.

The complete listing of SLACs is contained in NAV-SUP Pub 485, Appendix 9.

b. Section Two. This section is arranged in NIINsequence and contains data identical to that describedfor section one. However, this section includes allitems, irrespective of DoDIC/NALC assignment. Inaddition to centrally cataloged items, section two listsitems to which NICNs have been assigned byNOLSC-AMMO.

c. Section Three. This section arranges items inNavy class groups by index number sequence to facili-tate reference. Data coverage is identical to that insections one and two.

d. Section Four (Data Supplement). This sectionprovides detailed characteristics of the items catalogedin section two except for items under index codesF_____ and Y_____ (smokeless powder and ordnanceproduction components, respectively). Items are listedin NIIN sequence. The information consists of dataderived from technical publications, specifications, anddrawings. Also included are configuration data, cubeand packing density, and applicable palletized unitcodes. Section four has a separate and limited distribu-tion and is available from NOLSC-AMMO on requestciting justification of need.

e. Section Five. Section five provides informa-tion on each item’s NEW, in DoDIC/NALC sequence.Five different environmental situations are portrayed to



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provide ordnance handling personnel with the NEWsfor storage, waterfront, production, shipboard, andtransportation under varying conditions.

6.3.2 Department of Defense Identification Code(DoDIC) System.

6.3.2.1 General. In ordnance, certain end items andmajor assemblies fall into generic groupings, in termsof their close physical and functional relationships andinterchangeability. For management convenience, thesegroupings are assigned DoDICs or NALCs, which mayembrace one or more NSNs. For example, a 5-inch38-caliber projectile has the assigned DoDIC D249which includes distinct NSNs, differing solely in thecolor of their explosive bursts. Similarly, a 16-inch50-caliber projectile may have several stock numbersdependent on the dye color upon impact; however,these stock numbers are grouped under the singleDoDIC D862.

6.3.2.2 Identification Numbers. The following num-bering systems group and identify ordnance end itemsand major assemblies.

a. Department of Defense Identification Code(DoDIC). DoDIC is a four-character alphanumericcode consisting of one letter followed by three num-bers (i.e., A072) assigned to a generic descriptionwithin a Federal Supply Class (FSC). Whenever thesame DoDIC is used as a suffix on two or moreNSNs, the items are interchangeable as to function,issue, and use. DoDICs are assigned by the DefenseLogistics Information Service (DLIS). Items that areassigned a DoDIC are normally common items usedby more than one military service.

b. Department of Defense Ammunition Code(DoDAC). DoDAC which includes the FSC in additionto the assigned DoDIC. The DoDAC is an eight-char-acter number divided into two parts by a hyphen. Thefirst part consists of the item’s FSC (e.g., 1305), andthe second part consists of the DoDIC (e.g., A011).

c. Naval Ammunition Logistics Code (NALC).NOLSC-AMMO assigned four-digit code consisting ofalpha and numeric codes. The NALC is similar to aDoDIC, except for its assignment by NOLSC-AMMOvice DLIS.

6.3.2.3 Control Numbers. Control Numbers form anindex that portrays Complete Round ordnance itemsidentifying end item NALCs through a top downbreakdown to all subordinate NALCs/NSNs that satisfy

the operational needs for weapons for which requie-ments are established in the NNOR.

a. For management purposes, four-digit controlnumbers are devised to isolate and identify end itemsby end-item configuration, functional commonality,etc.

b. A simplified example of grouping by controlnumber is presented.

Control Numbers Applicable DoDICs/NALCs

ZPL1 D226, D228, D232, D233 ZPM1 D226, D232 ZPN1 D228, D233

In the example, control number ZPL1 groups all DoD-ICs which apply to 5”/38 VT projectiles. Control num-bers ZPM1 and ZPN1 provide further differentiationby dividing the DoDICs into distinct groups as to“self-destructing” and “non-self-destructing”. A controlnumber includes one or more end-item DoDICs orNALCs within such groupings. In effect, grouping bycontrol number represents a tailored packaging toachieve general performance and mission support ca-pabilities.

c. Control numbers are assigned by NOLSC-AMMO and incorporated into OIS-W for retrieval inpreparing tailored asset and other reports. They under-go changes as new DoDICs or NALCs are assigned,old ones dropped, or as combinations may be directedby CNO or the PM. Stratification and budget prepara-tion depend on control number grouping for properpresentation.

d. Control numbers are also used to consolidateand present assets of related items, display readinessposture and capabilities, fair share items from produc-tion, systematically arrange and display new procure-ments, show maintenance requirements and scheduleassets for maintenance. The Control Number Index isupdated monthly and is maintained in OIS-W byNOLSC-AMMO.

6.3.2.4 NAVSUP Pub P-802. This technical manualprovides the operating forces and certain SMCAactivities with a reference to the DoDIC and NALCcodes applicable to ordnance and components used bythe Navy and Marine Corps. This is a four partreference.

a. Part 1, Section 1, Ammunition Items are ar-ranged alphabetically by nomenclature within each of



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the Ammo Class.

(1) Part 1. Section 2, Complete Round Com-ponents.

b. Part 2. Ammunition Items arranged in ascend-ing alphanumeric DoDICs/NALCs deleted or supersed-ed since the last revision are listed.

c. Part 3. DoDIC/NALCs deleted or supersededsince last revision are listed.

d. Part 4. Issue Priority Guidance for 2T Am-munition.

Comments concerning additions, deletions, errors, oromissions of data contained in NAVSUP Pub P-802, orrequests for changes to its distribution list are for-warded to NOLSC-AMMO.



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CHAPTER 6.4

Receipt, Segregation, Storage, and Issue (RSS&I)

Table of Contents


6.4.1 Ordnance Stock Point Load Plan 6-4-1

6.4.2 Receipt, Segregation, Stroage, and Issue (RSS&I) Management Policies and Procedures 6-4-2

6.4.3 Receipt 6-4-3

6.4.4 Segregation Program 6-4-3

6.4.5 Storage 6-4-5

6.4.6 Physical Inventory 6-4-7

6.4.7 NOLSC-AMMO Responsibilities (Per NAVSUP P-724) 6-4-8

6.4.8 Issue 6-4-9



6-4-1

CHAPTER 6.4

Receipt, Segregation, Storage, and Issue (RSS&I)

6.4.1 Ordnance Stock Point Load Plan.

6.4.1.1 General. The activity load plan is a valuabletool for shore retail stock-points (primary and secon-dary) to use in determining appropriate stockage levelsto properly support Fleet ammunition positioningrequirements as well as other customer requirements.Load plans are developed and issued by the NavalOperational Logistics Support Center (NOLSC-AMMO) in accordance with NAVSUP P-724 policyand in conjunction with recommendations provided byhost stock-point, other customers and other governingdocuments.

6.4.1.2 Load Plan Factors. The FLT CombatantCommanders and other ordnance stock-point customerrequirements are termed Load Plan Factors. There are5 Load Plan factors presently in use. Not all LoadPlan factors apply to every ordnance stock-point. TheLoad Plan factors are as follows:

a. Global Naval Ordnance Positioning Plan(GNOPP).

b. Maintenance and Production.

c. Other Services.

d. Contractor/other Activities.

e. Local Community.

6.4.1.3 Load Plan Development.

a. A load plan for the Department of the Navy(DoN) ammunition stock-points is developed annually.Ammunition stock-point load plans are developedbiannually and reviewed annually. Development and/orreview begins six months prior to the load plan yearwith projected completion and publication prior to thebeginning of the new load plan year. Development isperformed on the even years and review is performedon the odd years. Activities update their individualstation load plan annually.

b. The development process is started during thesecond quarter of each fiscal year by NOLSC-AMMOcoordinating with Fleets, Ammunition stock-points,

and Acquisition/Program Managers (PMs), or theiragents, to determine the quantities required for LoadPlan factors one through five.

c. The Commander, U. S. Pacific Fleet (COM-PACFLT) and Commander, Fleet Forces Command(CFFC) provide positioning quantities of ammunitionincluding positioning of required components of All-Up-Rounds (AURs) in support of worldwide Navalpositioning based on assets reported in the NOLSC-AMMO Ordnance Information System-Wholesale(OIS-W) using the GNOPP Tool as the ordnance posi-tioning decision system.

d. Acquisition/Program Managers, Ammunitionstock-points and Stockpile Managers develop storagerequirements for ammunition end-items, components,and explosives to support 12 months of maintenanceworkload and/or 12 months of production load, as-semble and pack requirements in support of Load PlanFactor two.

e. Ammunition stock-points provide projectedcommitments for storage space requirements in supportof Load Plan Factors 3, 4, and 5 to NOLSC-AMMOby 31 January each year covering requirements pro-jected for the following fiscal year.

(1) In addition, even though Foreign MilitarySales/Security Assistance Program (FMS/SAP) materi-al is not included in these factors, space considerationis given for requirements to temporarily stow a limitamount of FMS/SAP material for up to 90 days.Requirements for temporary storage of FMS/SAPmaterial at either the Atlantic Ordnance Commandactivities or West Coast Weapons Stations is nego-tiated between the Navy International Programs Officeand the COMPACFLT or CFFC.

(2) Additionally, although demilitarizationdisposal (Ownership Code 2) material will not bestored routinely at Navy ammunition activities, spaceconsideration is given to accommodate this require-ment.

f. Prior to the development of recommended am-munition activity load plans and the consolidated mas-ter load plan, NOLSC-AMMO evaluates each stock-point’s annual load plan input (factor quantities, total



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quantities) to ensure space availability and compliancewith safety requirements. Fleet requirements have firstpriority for storage space in developing stock-pointload plans. Upon completion of this evaluation, recom-mended load plans are forwarded to Acquisition/Pro-gram Managers for review at the Navy AmmunitionLogistics Code (NALC) family or National StockNumber (NSN) level.

g. Final activity baseline load plan under themanagement of the Fleet Combatant Commanders orother major claimants will be prepared and distributedby NOLSC-AMMO no later than 1 October of eachyear. Proposed changes required during the year willbe review, approved and distributed by NOLSC-AMMO.

h. Once the annual stock-point load plans havebeen submitted and approved, each stock-point willuse the approved load plan annual update as the basisfor managing local stock levels, determining propermagazine utilization, planning future facility improve-ments and maintaining stocking levels in support ofthe Fleet and other authorized customers. The safetyrequirement of NAVSEA OP5 Volume 1 will remain amandatory consideration.

6.4.1.4 Load Plan Use. The activity’s load plan isused separately, or in conjunction with other applicabledocuments or records, as the activity’s official refer-ence document concerning the range and depth ofordnance that is authorized to be stocked at thatactivity. The FLT Combatant Commanders are respon-sible for implementing the ammunition stocking objec-tives for primary and secondary storage activities.

a. In support of Fleet positioning requirements,the NOLSC-AMMO generates recommended ordnancemovements in support of station replenishment andredistribution requirements necessary to assure com-pliance with approved load plans. NOLSC-AMMOprovides reports that indicate the extent of load plancompliance for each approved load plan citing stock-point, ammunition tonnage, percent conformance foreach Cog and asset ownership. These recommenda-tions can be provided annually during the developmentyear, review year and upon request. The followingreports and data products provide the basis to deter-mine the degree of load plan compliance.

(1) A Load Plan Performance Report providesoptions to select load plan compliance statistics byCondition Code(s), Purpose Code(s), Cog(s), Owner-ship Code(s), and Unit Identification Code(s) (UICs)with the ability to sort by Cog or UIC.

(2) A Load Plan Attribute Report that pro-vides load plan compliance data for the current fiscalyear by month with the ability to select ConditionsCode(s), Purpose Code(s), Ownership Code(s) andUIC(s).

(3) Load Plan Compliance Graphs that graph-ically display conformance statistics by month.

(4) Load Plan Performance Measurement Re-ports indicating required tonnage represented in ap-proved load plans, excess stored inventory tonnage,inventory tonnage in conformance with approved loadplans, measure of the tonnage discrepancy betweenapproved load plan requirements and tonnage stored,and conformance statistics.

b. This information can also be used to identifyand justify the need for additional magazines, in con-nection with military construction planning.

c. The load plan is useful to the activity in iden-tifying and requisitioning items for which stockage isauthorized. At the NOLSC-AMMO, the activity’s loadplan is incorporated into OIS-W, and requisitions re-ceived by NOLSC-AMMO are monitored by UIC todetermine authorization status and/or the need for fur-ther justification.

d. When used with other information (i.e., usage,stock status, Fleet and Inventory Manager (IM) direc-tives, etc.), the load plan may signal the existence oflocal excess. Suspect items discovered in this mannerare reported to the IM for verification of continuedneed or for disposition instructions.

e. The load plan reflects a listing, by DoDIC/NALC, of authorized ordnance components.

6.4.2 Receipt, Segregation, Storage, and Issue(RSS&I) Management Policies and Procedures. Thefollowing are management policies and procedures thathave application in more than one RSS&I process.

6.4.2.1 Ammunition Sentencing Publications (NAV-SUP P-805, and P-807) Precepts. NAVSUP P-805,Section 1-4 discusses Ammunition Sentencing Publica-tions Precepts as follows: “Items of ammunition, withbut few exceptions, are expendable, not consumableitems. One effect of this distinction is that ammunitionitems continue to be a part of the total inventory untilthey no longer exist. Consumables are not expected tobe returned to stock after they have been issued;expendables are! So long as any item is a part of thetotal inventory its condition and status information arenecessary elements in the inventory record.” The fiveprecepts are as follows:



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a. Precept Number 1: Safety, security, inventoryaccuracy, and economy dictate that receipt inspectionmust be performed at the earliest opportunity and be-fore any other processing.

b. Precept Number 2: Inspection should be lim-ited to those characteristics that are subject to havechanged since last sentencing, e.g.:

(1) Environmental deterioration.

(2) Shelf-life/Service life effects.

(3) Reclassification.

(4) Identification/packaging change.

(5) Preparation for use.

(6) Physical damage.

c. Precept Number 3: The sequence of inspectionsteps should minimize inspection effort.

d. Precept Number 4: Inspection results shouldspecify the correct Condition Code (C/C) and DefectCode (D/C) to be assigned.

e. Precept Number 5: Referencing to other docu-ments should be minimal.

6.4.2.2 Ordnance Handling. A major function thatoccurs in each of the RSS&I processes is physicalhandling of the ordnance. Safe handling procedures arespecified in the appropriate NAVSEA OPs. Proper useof Industrial Materials Handling Equipment is coveredin NAVSEA SW023-AH-WHM-010.

6.4.2.3 Material Condition Codes (C/C) and DefectCodes (D/C). Ammunition C/Cs shall be as defined inAppendix D of the Ammunition Sentencing Publica-tions (can be viewed at the NOLSC-AMMO Websitehttps://www.ois.disa.mil). User’s must establish a useraccount. After logging in, publications are found underLogistics Services, Asset Profile menu). D/Cs shall beapplied per the specific directions contained in theNAVSUP PUBs P-805 and P-807. Proper use of C/Csand D/Cs is important in assisting the Item IMs andTechnical Managers (TMs) in proper stockpile man-agement and minimizing acquisition, maintenance, anddisposal costs. All ordnance in the inventory will havean assigned C/C. For all ordnance except C/C “A”,D/Cs shall be present/entered on the tag/label.

6.4.2.4 Stock Rotation. Retail activity stock levelsare prescribed by load plans, which provide the totalapproved stock level and a breakdown of the specificrequirements such as ordnance for shipfill, mission andcargo loads, War Reserve Material Requirement(WRMR), and Testing and Training Requirement(TTR) ordnance. The specific requirements that com-prise the total stock level are the maximum levelsauthorized for the specific purpose, and are not stockreservations. Items listed under WRMR or TTR maybe issued to replenish shipfill, cargo, mission load, andWRMR ordnance may be issued to meet Non-CombatExpenditure Allocation (NCEA) requirements, pro-vided replenishment action is taken. The total ap-proved stock level is considered as available in theselection of ordnance for issue, and its issue isdesirable for stock rotation.

6.4.3 Receipt.

6.4.3.1 Material Identification. Material identificationupon receipt, is entered into automated inventorymanagement systems to assist the ordnance activity inmanaging the ordnance. Retail Ordnance LogisticsManagement System (ROLMS), activities receipt per-sonnel enter the appropriate data off of the Govern-ment Bill of Lading (GBL). The data is then processedby the system and made available to all other activitypersonnel to properly process the receipted material.For those activities with Total Ammunition MovementManagement System (TAMMS), receipt personnel enterthe data from the GBL. The system determines theeffect of the receipted material on the activity loadplan and Net explosive Weight (NEW) limits for sitingpurposes.

6.4.3.2 Receipt Inspection. Received ordnance ship-ments must be inspected to verify that the condition isas specified on the DD Form 1348. Quality AssuranceDepartment or Quality Verification Division personnelof primary stock-points and qualified ordnance person-nel of secondary stock-points shall inspect and confirmserviceability, and report discrepancies or damages thathave occurred in shipment. Transportation DeficiencyReports (TDRs) or Report of Discrepancy (ROD) willbe submitted as described in Section 4, Chapter 4.4 ofthis Volume.

6.4.4 Segregation Program. Segregation only ap-plies to 2E (Conventional Air Ammunition), 2T(Conventional Ammunition), and OT (USMC expend-able ordnance).

6.4.4.1 General. Receipt inspection separates ord-nance that requires no additional inspection or process-



6-4-4

ing from that which does. Ordnance is sentenced toC/C “K” when the true identification and/or conditionof the ordnance is not known and requires furtherprocessing, to determine the true identification and/orcondition. For ordnance that cannot be adequatelysentenced (in terms of actual material condition andidentification) by receipt inspection (and other, similarprocesses), segregation provides a level of sentencingcapability that precludes the need to have suchsentencing performed as a part of traditional mainte-nance processes, which are more costly in both timeand money. Segregation is an important process inproviding an accurate picture of the stockpile condi-tion for the IM and Acquisition/Maintenance PM. Thesmaller the percentage of the total stockpile in C/C “K”, the better job the IM can do distributing theReady for Issue (RFI) stock, and the more accuratelythe PM can manage the acquisition and maintenanceprograms.

6.4.4.2 Segregation. Fleet-returned ordnance inC/C “K” (undetermined condition) should be expedi-tiously segregated to permit its take up in stock underits true condition classification. A period of 45 days isthe limiting guideline for ammunition in C/C “K”.Activity segregation and exterior maintenance sched-ules should be in accordance with a priority list issuedby NOLSC-AMMO. The ordnance segregation processis described in NAVSUP P-805, Chapter 7.

a. Ammunition in C/C “K” is identified to itscorrect DoDIC/NALC, NSN, and lot number, andphysically separated if necessary. C/Cs and quantitieslisted on the receiving document will be verified andany quantity discrepancies reconciled. All items willbe checked for reclassifications listed in NAVSUPP-801 and subsequent Notice of Ammunition Reclassi-fication (NARs).

6.4.4.3 Inspection. Remaining items in all other C/Csare inspected as follows:

a. Ordnance packed in hermetically sealed orwaterproof containers shall not be opened unless in-spection of the container indicates it has been pre-viously opened (broken seal), or that it is damaged orhas deteriorated to an extent that the ordnance contentsmay be affected.

b. Ordnance items normally not packed in con-tainers but protected by ordnance details, such as wa-terproof protective caps and unpalletized, shall be in-spected for proper and complete identificationmarkings and for exterior damage or deterioration.

c. Unit pallet loads of packaged or unpackagedordnance will not be depalletized unless the seals havebeen broken. The contents of each pallet load shall beinspected for damage, broken seals, or deteriorationwithout depalletizing.

d. Inspections described above can be conductedon-pier during off-loading. On-pier sentencing, particu-larly of sealed containers and palletized ordnance,should be maximized to avoid build-up of C/C “K”and to reduce turn around time for ordnance issues.

e. Segregation inspection must be performed inthe sequence specified in the applicable governingpublication and Standard Operating Procedure (SOP).The segregation inspection shall also be limited to thecharacteristics and inspection steps specified in the ap-plicable governing publication and SOP.

6.4.4.4 Classification. Upon receipt, all ordnancewhose lots are free of NAR suspensions, and whoseC/C classification indicated on the DD Form 1348-1 isverified by 100 percent inspection, shall be taken up instock by reclassification from C/C “K” to the correctC/C. For Fleet-returned ordnance with no C/Cs indi-cated, the presumption during segregation is that allordnance items are serviceable (C/C “A”). Morerestrictive C/Cs are then assigned to lots that havebeen reclassified by NARs, and to individual ordnanceitems as the inspection findings warrant. Segregationand reclassification of material held in C/C “K” shouldbe expedited, overriding the NOLSC-AMMO prioritylist for the current or upcoming FY MaintenanceProgram. Items with known future demand require-ments should be included for rapid turnaround withFleet Ordnance Support (FOS) funds. As a generalguideline, a 30-day maximum limit is desired formaterial in C/C “K”. On the 10th of each month,primary CONUS stock-points are required to reportamounts of unsegregated ordnance that has beenonboard over 30 days.

6.4.4.5 Certification Requirement. Activities whosequality assurance programs are governed in total or inpart by NAVSEA TO300-AM-ORD-010 or NAVSUPPUBs 801/802/803/804/805/807, shall certify the mate-rial condition and status C/C of all segregated ord-nance. Certification shall be executed using an inspec-tion indicator (stamp) or authorized signature on theMIL-STD-129 tag/label. Certification is required forall ordnance (serviceable, suspended, and unservice-able).

6.4.4.6 Ammunition Sentencing Publications Manage-ment. NOLSC-AMMO is responsible for the Ammuni-



6-4-5

tion Sentencing Publications. The scope of the applica-ble policies and requirements is such that no singleorganizational entity has authority over them all. Thefollowing general description for content authorityapplies:

a. Safety and Security. Navy Ordnance Safetyand Security Activity (NOSSA) is the single technicalpoint of contact for safety and physical security policyand requirements pertaining to Ammunition, Explo-sives and other Dangerous Articles (AEDA) withinand throughout the Department of the Navy.

b. Quality. Ammunition Acquisition/ProgramManagers (PMs) are the single technical point of con-tact and authority for all in-service quality require-ments and related life-cycle support policies and pro-cedures pertaining to assigned ammunition. Thefollowing are directly applicable to the AmmunitionSentencing Publications:

(1) Serviceability Criteria. The PMs have thesole authority to specify ammunition serviceabilitycriteria. These criteria identify specific characteristicsand their standard of acceptability, including anytolerance or allowable variation in those standards.Inherent in these criteria is the specification ofwhether or not unserviceable ammunition can orshould be returned to serviceable condition.

(2) Levels of Maintenance Specification. ThePMs have the sole authority, through IntegratedLogistics Support (ILS) planning to specify howmaintenance of assigned ammunition will be accom-plished.

(3) Reclassification. The PMs have the soleauthority to reclassify specific populations of assignedammunition. Inherent in this authority is the issue ofdirection to reidentify the ammunition, i.e., change theserviceability identification to unserviceable, sus-pended, or serviceable with specific qualificationsapplied.

c. Logistics Management. NAVSUP P-724 pro-mulgates conventional ordnance stock-pile manage-ment policies and procedures for worldwide ammuni-tion assets within the Navy.

(1) Stock-pile Management Process Require-ments. NAVSUP P-724 is the authoritative requirementfor ammunition requisitioning, transaction reporting,stock-point and Fleet Receipt, Segregation, Storageand Issue (RSS&I), load planning, stock-pile stratifica-tion, demilitarization, disposal, disposition, inventory

accounting, transportation planning and control, andinventory data management.

(2) Ammunition Condition Codes (C/C), De-fect Codes (D/C), and Material Condition and StatusIdentification Requirements. Ammunition serviceabilityis identified in inventory records and accounts and intransaction reports using C/Cs and D/Cs. C/Cs andD/Cs for Navy conventional ammunition are promul-gated in Appendix D of the Ammunition SentencingPublications as directed by NAVSUP P-724. Ammuni-tion is physically identified in terms of its serviceabili-ty (C/Cs and D/Cs) using Material Condition Tags/La-bels and barcoded labels (for electronic capture of thedata). The Ammunition Sentencing Publications, Ap-pendix A, provide the requirements for this physicalidentification.

6.4.4.7 Single Manager of Conventional Ammunition(SMCA) Segregation and Reclassification. When C/C“K” ordnance accumulates to an unacceptable level, arequest for transfer of Fleet-returned ordnance toinland storage should be addressed to NOLSC-AMMO.NOLSC-AMMO will coordinate the shipment with theSMCA ammunition support and Maintenance Divisionat the Joint Munitions Command for designation of awholesale stock destination. SMCA quality assurancepersonnel will check for outstanding restrictions orsuspensions and will inspect to verify material condi-tions. Reclassification actions are accomplished by thepreparation of an Ammunition Condition Report(ACR).

6.4.5 Storage.

6.4.5.1 Storage Ashore.

a. Ordnance storage activities are required toprovide safe and secure storage for non-nuclear ord-nance and inert components in a manner that will per-mit the most efficient and responsive support to theFleet. Guidance found in DoD 5100.76-M, PhysicalSecurity of Sensitive Conventional Arms, Ammunition,and Explosive (AA&E) shall be followed.

b. Management of available storage on a station-wide basis requires a broad knowledge of:

(1) Types and quantities of magazines, theirsizes, and group locations.

(2) Net Explosives Weight (NEW) limits andphysical (volumetric) capacities of magazines in termsof items stored.



6-4-6

(3) Item storage compatibilities, item NEWs,and item sensitivity/security categories.

(4) General Fleet demand rate of items.

c. General Considerations that affect storagemanagement:

(1) The most efficient utilization of a maga-zine is to fill it to volumetric capacity, while attainingthe maximum authorized NEW. Since this is seldompossible, individual magazine utilization can be opti-mized by judicious selection of low-ratio NEW to totalweight items, consistent with permissible compatibilitywith high ratio items to maximize magazine storagevolumetric and NEW limits.

(2) Magazine selection for high risk (Catego-ry 1 or 2) sensitive items should be based on thefollowing parameters.

(a) Denial of accessibility to criminal in-trusion by centrally locating at maximum distancefrom station boundaries.

(b) Consolidate storage areas readilycontrolled by security personnel for authorized ac-cess.

(c) Select magazines or magazine groupsthat are capable of conversion to hardened storage byperimeter security measures (fencing, Intrusion Detec-tion Systems (IDS), protective lighting, and/or non-working hours patrols).

(3) For medium- and low-risk sensitive items,and for ordnance items not coded as sensitive,magazine selection should be based on considerationof Fleet demand and on storage accessibility to stationshipping/out-loading points.

d. The activity Weapons/Ordnance Officer is re-sponsible for the ordnance storage arrangement. Subor-dinates of this officer are responsible for the locationof ordnance by lot number or serial number, and theinternal arrangement of the ordnance in each maga-zine. Individual magazine storage plans should provideready accessibility for:

(1) Locating specific lots for issue, QE sam-pling, and reclassification action due to NARs.

(2) Conducting physical inventories.

(3) Applying or changing OPSCAN labels.

(4) Conducting surveillance inspections.

e. In developing individual magazine storageplans, NAVSEA ordnance activities should complywith NAVSEAINST 8024.02. The stowage plan poli-cies described in enclosure (3) to NAV-SEAINST 8024.02 are prescribed for all other ord-nance activities for use in optimizing local magazineutilization.

(1) Eighteen inch aisle spaces shall be main-tained between every other pallet row in order tofacilitate the sight checks and bar code scanningrequired for physical inventory, inspection, lot/serialcontrols, and other stowage management functions.

(2) Pallet spacing and stacking configurationsshall be directed towards the objective of allowingaccess to a desired pallet stack with a maximum ofthree stack movements, except for bombs which arejam stowed.

(3) Pallet set-downs shall be no more thanfour deep.

(4) Spacing and stacking shall allow accessby traditional/manually operated forklift operations,and will allow a 90 degree turn set-down after comingthrough the door.

(5) Maximum stacking height requirementsshown in layout diagrams and used in magazines shalltake into consideration the type of assets and contain-ers to be stowed. Stacking limitations in applicableweapons requirement documents and military standardsshall not be violated.

(6) Storage compatibility regulations of NAV-SEA OP 5 and quantity/distance restrictions requirestrict compliance.

(7) Spacing and stacking shall facilitate exe-cuting First In/First Out (FIFO) issue processingpolicy.

(8) Diagram layouts not withstanding, totalordnance stored in magazines shall not exceed theallowed NEW.

(9) Ordnance stored in individual magazinesshall not normally exceed 80 percent of the maga-zine’s total storage capacity, i.e. the magazine shall beconsidered “full” (100 percent utilized) at 80 percent



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of the magazine’s nominal storage capacity expressedin square feet.

(10) The above stowage plan policies shall besubordinate to published and “common sense” safetyconsiderations. “Safety first” is the top priority inplanning and executing magazine stowage.

6.4.5.2 Primary stock-points. Primary stock-points, inaddition to the considerations identified in subpara-graph 6.4.5.1, have additional temporary holdingfacilities to handle large quantities of throughputordnance to minimize double handling requirements.Depending on the ship’s schedule, temporary storagefacilities can also be used to pre-stage ordnance foronload, thus minimizing the ship’s time at an explo-sives pier or anchorage. There are three types oftemporary holding facilities:

a. Barricaded rail sidings and barricaded truckareas that have been assigned specific NEW limits.

b. Unbarricaded rail sidings and truck marshal-ling areas, with or without NEW limits specified.

c. Explosives barges that have been assignedspecific NEW limits, for holding and transporting theordnance and inert cargo from the terminal to the shipat an explosives anchorage.

Appropriate explosives safety and security measureshave to be taken at these temporary holding facilitiesto minimize risk, similar to those for permanent stor-age facilities.

6.4.5.3 Stowage Afloat. Many of the storage consid-erations that a facility’s Ordnance Officer must beconcerned with have already been determined by theship designers for the ship’s Ordnance/Weapons Offi-cer. The ship magazines’ location, size, and design areestablished to accommodate a specific mixture ofordnance listed in the assigned allowance(s). Anysignificant change in allowance requiring a change inmagazine design requires an Ordnance Alteration(ORDALT). The most significant considerations forthe ship’s Ordnance/Weapons Officer is ensuringcompatibility and proper securing of all ordnancewithin the magazines to preclude damage due to theship’s movement while at sea, which could lead to acatastrophic event or unserviceable ordnance. ForOrdnance/Weapons Officers aboard surface combat-ants, ordnance magazine design and placement has leftvery little flexibility for ordnance distribution manage-ment. For Ordnance/Weapons Officers aboard surface

ships with magazines for cargo or mission allowances,storage plans for each of these magazines should becarefully developed to provide ready accessibility for:

a. Locating specific lots for issue, and reclassifi-cation action due to NARs.

b. Conducting physical inventories.

c. Applying or changing Optical Scan (OP-SCAN) labels.

d. Assisting ship’s engineering department in en-suring proper weight distribution throughout the ship.

6.4.6 Physical Inventory.

a. Managing a multi-billion dollar worldwide in-ventory requires effective controls to prevent asset dis-appearance and ensure asset accountability. To main-tain positive control, it is essential that all assets instowage, storage, and elsewhere (such as in transit orin production) be accounted for, and that stock recordbalances at all levels be maintained in an up-to-datestatus. Accurate inventory records not only reflect“good housekeeping,” they are essential to Fleet sup-port and to secure supply management practices.Therefore, one of the basic goals of the Navy’s physi-cal inventory program has been to improve the accura-cy of supply system records. Attainment of this goalimproves supply support, ensures accurate and timelybudgetary and procurement actions, and results in thecost-effective use of limited manpower and monetaryresources. The policies contained in DoD 4140.1-Rand in the Navy’s supporting directive, NAVSUPP-723, are designed to ensure good supply practices.

b. NAVSUP P-724 provides the Navy policy andresponsibilities for achieving and sustaining ammuni-tion inventory accuracy performance objectives andprocedures that continuously improve the accountabil-ity of ammunition in reporting activity custody.

c. Sampling and Statistical Process Control. Theobjectives of Sampling and Statistical Process Control(SPC) and its application to ordnance inventory man-agement are to:

(1) Provide a more efficient and revealingdepiction of station inventory accuracy.

(2) Provide a diagnostic tool to help manag-ers identify inventory processes that need refinement,and make better decisions regarding the use of limitedRSS&I resources.



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(3) Location Reconciliation Procedures. Thisreconciliation is designed to compare the NOLSCrecord to the stock-point record. Stock-points andNOLSC should use automated mail (i.e. e-mail)whenever possible.

d. Stock point Inventory Accuracy ManagementProcedures.

(1) All activities reporting Naval ammunitionshall designate an Inventory Accuracy Officer (IAO)as required by NAVSUP P-724. Stock points willforward the IAO name, code, DSN and commercialnumbers and email addresses at the beginning of eachfiscal year to NOLSC-AMMO.

(2) For scheduled inventories, stock pointsprepare and maintain a local record of all physicalinventories scheduled at the beginning of each fiscalyear. The schedule will, at a minimum, designateassets and locations to be inventoried each quarter.

(3) Scheduled Inventories:

(a) Category I (Controlled InventoryItem Codes (CIICs) 1, 5, 6): 100 percent physicalinventory conducted semi-annually.

(b) Category II, (CIICs 2, 8, and S): 100percent physical inventory conducted annually.

(c) All other ammunition/ordnance inven-tory: Either 100 percent physical inventory conductedannually or an annual statistical estimation samplingprocess that provides a reasonable assurance that theproperty accountable records meet applicable invento-ry accuracy standards with a 95 percent level of con-fidence (maximum margin of error of 2 percent).

(4) Mandatory Sampling. Naval shore activi-ties identified as Stock Points for Sampling (SPS) byNOLSC-AMMO shall conduct weekly random Statisti-cal Process Control (SPC) sampling of the activitiestotal ordnance inventory for other than CAT I andCAT II (High Risk) material.

(5) Depleted uranium rounds: 100 percentannually. Applicable Navy Ammunition Code(NALC)/National Item Identification Numbers (NIINs)that are reportable to OIS are: A675/001934227,A675/010876742, A676/011853265, A979/011363623,A979/012612582, and A983/012197970.

(6) Unschedule inventories are required whenany of the following occur:

(a) Warehouse Denial (Refusal). Whenmaterial is on record but is not found in the locationduring material movements (i.e. issuing material).

(b) Bounceback. When a stock-point re-jects a requisition referred by NOLSC-AMMO or anNOLSC-AMMO Ammo Office, the stock-point mustconduct a physical inventory if the transaction historyanalysis does not resolve the discrepancy.

(c) Anytime a location/magazine is com-promised, a 100% inventory for that location must becompleted within 24 hours. A location/magazine isconsidered compromised anytime there is evidence ofan unauthorized entry.

e. The Physical Inventory Process is described indetail in NAVSUP P-724 and will not be restated here.

6.4.7 NOLSC-AMMO Responsibilities (per NAV-SUP P-724):

a. Develops and issues ordnance accountabilityand inventory accuracy monitoring policy and proce-dures for Navy ammunition.

b. Designates a Data Integrity Officer to overseethe Naval Ordnance Inventory Accuracy Program.

c. Conducts periodic Inventory Accuracy Forums(IAFs) for discussion of ordnance accountability andaccuracy related issues.

d. Coordinates with the Single Manager for Con-ventional Ammunition (SMCA) to ensure Naval ord-nance in SMCA activities meet inventory accuracy re-quirements.

e. Monitors ordnance activity compliance withphysical inventory, location audit and location recon-ciliation scheduling and performance requirements.

f. Provides inventory management inspectionpersonnel in support of the Department of Navy(DoN) Shore Station Explosive Safety Program.

g. On an exception basis, conducts ordnanceAmmunition Management and Accountability Review(AMAR) visits to assist ordnance handling and storageactivities resolve process deficiencies and improvingammunition inventory accuracy, data quality and ac-countability.

h. Coordinates with Marine Corps Systems Com-mand (MARCORSYSCOM) to ensure Navy activities



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holding 0T COG assets meet inventory accuracy re-quirements.

6.4.7.1 Ammunition Management Accountability Re-view (AMAR). The AMAR program succeeded andexpanded upon the Non-nuclear Ammunition InventoryAccuracy (NAIA) program. The purpose of the AMARprogram is to enhance station magazine to ROLMSand ROLMS to OIS-W inventory accuracy. TheAMAR program measures inventory accuracy, evalu-ates procedural compliance fourteen functional areas,and conducts tailored training where required. AMARsare on-site reviews coordinated, scheduled and targetedprimary at activities whose performance trends aresuspect. They may be specifically requested by MajorClaimants, Type Commanders, Regional Commandersor Commanding Officers or requested and scheduledas a result of an Unsatisfactory Inventory Managementgrade based on an Explosives Safety Inspection (ESI).NOLSC-AMMO develops, coordinates and conductsAMARs.

6.4.7.2 Location Survey Procedures.

(1) An annual survey of each location isrequired. Items within storage areas on which awall-to-wall physical inventory was performed do notrequire a separate location survey; the location inven-tory should identiy and resolve material found inunrecorded locations. The CNO goal for locationsurvey accuracy is 98%.

(2) Retain location survey cards/listings forone year. Retain location survey reports for two years.

6.4.7.3 Inventory Discrepancies. Discrepancies foundthrough inventory processes must be properly reportedto ensure the stockpile databases are updated toaccurately reflect what is in each magazine. The tworeports which cover inventory discrepancies are de-scribed in Chapter 4.4.

6.4.8 Issue. Some of the topics covered must also beconsidered for receipt and during storage to minimizethe effort required during the issue process.

6.4.8.1 Fleet Issue Policies.

a. Service Ordnance. Service ordnance to fill de-ploying ships and Fleet units’ shipfill, interim or tai-lored allowances must be RFI. This includes C/C “A”,“B”, and “C” ordnance items.

b. Training Ordnance. Ordnance for trainingshould be issued from available C/C “B” or “C” mate-rial whenever possible. If appropriate C/C “B” or “C”items are not available, C/C “A” ordnance of the old-est lots should be issued.

6.4.8.2 Remnant Lots. As a rule, remnant lots shouldbe issued whenever possible for use in training.

6.4.8.3 Quality Assurance on Issue. Ordnance Issueis a general term in ordnance stockpile managementthat covers transfers from retail or wholesale activitystocks to any activity, regardless of C/C. Ordnanceissues to Fleet ships and using activities must be madewith serviceable RFI ordnance, as certified by theissuing activity. Ordnance issues to retail or wholesaleactivities ashore to fill Load Plan requirements insupport of the Fleet are usually made with serviceableRFI ordnance, as certified by the issuing activity. Eachactivity Commanding Officer is responsible for ensur-ing that serviceable ordnance is issued, unless other-wise directed (i.e., issue of assets to a maintenanceactivity). The Quality Assurance Department, withinprimary stock-points, is assigned QE and verificationas serviceable for issue responsibilities. At secondarystock-points responsibility is assigned to the Weapons/Ordnance Officer and may be delegated to ordnancepersonnel assigned quality assurance functions.

6.4.8.4 Traceable Seals. A Traceable Seal is aphysical device applied to ammunition containers andthat must be removed or broken in order to open thecontainer and remove the contents. Ammunition con-tiners require Traceable Seals. Two types (Type 1 andType 2) of Traceable Seals are used, depending on thetype of container. The essential requirements for eitherType 1 or Type 2 Traceable Seals are that they not bereusable or removable from a container withoutdestruction of the seal and that they embody anactivity symbol or identifier. See NAVSUP P-805,Chapter 3 for amplifying information.

a. Type 1 Traceable Seals. Type 1 seals are thepreferred seals for containers having provisions ormeans for application of the seals, e.g., metal, plastic,fiberglass or wood containers with lids or hinged cov-er, latches, brackets or flanges. A Type 1 seal is typi-cally, a wire length with a metal disk or pellet that iscrimped or crushed using a die that imprints the activi-ty symbol or identifier on the disk/pellet.

b. Type 2 Traceable Seals. Type 2 seals are thepreferred seals for fiberboard or styrofoam containersor for metal, plastic, fiberglass or wood containers thatwill not readily accept Type 1 seals. Type 2 seals are,



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typically, nonmetallic lables with pressure sensitivebacking. They may be pre-printed, stamped or markedwith the activity symbol or identifier. Preprinting ofindividual inspector indicators is not authorized.

6.4.8.5 Sensitive Item Issues. Issue of sensitive itemsor nonsensitive classified items, and for items coded 5,6, or 8, involving transfer via rail or truck isaccomplished in accordance with DoD 5100.76-M orDoD 5200.1-R, whichever is most stringent. In con-junction with quality verification for serviceabilityduring issue, a verification of quantity shall be madeby inspection, including where practicable, the openingof unsealed containers for Code 1 and 2 items.Discrepancies are reconciled and corrected quantitiesentered on DD Form 1348-1. After verification,containers of Code 1 and 2 items shall be sealed witha numbered seal and the numbers recorded. The use ofSignature and Talley, DD Form 1907, should be usedas custody passes from magazine warehousing toreceiving personnel.

6.4.8.6 Shipment Consolidation. When a MaterielRelease Order (MRO) is received at an SMCA storagesite, the quantity to be issued is consolidated withother shipments wherever possible. However, consoli-dation is waived when it would jeopardize meeting the

requiring activities Required Delivery Date (RDD).MROs are processed by the Single Manager within theUniform Material Movement and Issue Priority System(UMMIPS) time frames.

6.4.8.7 Issue Replenishment. As a retail activitiesstocks become depleted through issues, replenishmentis requisitioned in accordance with NAVSUP P-724.Replenishment of stocks is expedited when standardrequisitioning procedures are followed, and due care istaken in the assignment of coded data elements. Forexample, when small multi-packed items are requisi-tioned for stock replenishment, the quantity requestedshould equal the quantity of the container contents orthe advice Code 5H (furnish nearest package quantityrequested) should be specified. Prior to requisitioningordnance to fill load plan levels, stock points shouldreview available resources, such as on-hand unsegre-gated ordnance and items in C/Cs “E” and “F” whichcan be processed and returned to stock as RFI. Itempriorities in the listing of readiness deficiencies issuedby NOLSC-AMMO, may be modified to replenishstocks from on-hand assets awaiting segregation ormaintenance. IFI funds are provided for maintenanceof rapid turnaround ordnance to replenish stationrequirements, and for transportation charge avoidance.



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CHAPTER 6.5

Requisition and Return Management

Table of Contents


6.5.1 Inventory Responsibilities 6-5-1

6.5.2 Requisitioning 6-5-2

6.5.3 Inter-Service Support 6-5-6

6.5.4 Fleet Return, Rollback, and Retrograde 6-5-7



6-5-1

CHAPTER 6.5

Requisition and Return Management

6.5.1 Inventory Responsibilities.

6.5.1.1 Inventory Control Point (ICP). Naval Ord-nance Logistics Support Center (NOLSC-AMMO) isthe Inventory Control Point (ICP) to which non-nu-clear ordnance items are assigned for inventory man-agement. In 2003, the Chief of Naval Operations(CNO) directed the disestablishment of the NavalAmmunition Logistics Center (NALC), Naval Trans-portation Center (NAVTRANS), and Naval PetroleumOffice (NAVPETOFF). All three were consolidatedinto a single command, thus establishing the NavalOperational Logistics Support Center (NOLSC).NOLSC-AMMO is the ammunition Fleet support agentfor CNO, Fleet Commanders, Commandant of theMarine Corps (CMC, Code ASL) and applicableAcquisition/Program Managers. In the performance ofits supply support mission, NOLSC-AMMO refers toCommander, Naval Sea Systems Command (NAVSEA)and Commander, Naval Air Systems Command (NAV-AIR) for technical/program guidance, and to Com-mander, Naval Supply Systems Command (NAVSUP)for supply system policy/procedures and programfunding.

a. As the Inventory Manager (IM) of non-nu-clear ordnance material, NOLSC-AMMO deals direct-ly with OPNAV, Commander Fleet Forces Command(CFFC), Commander, Naval Surface Forces (CNSF),Type Commanders, Force Commanders, SYSCOMS,and the Single Manager for Conventional Ammuni-tion (SMCA). These relationships involve interfacesrelating to program direction and funding, reports for-mulation and exchanges, asset visibility information,and near real-time systems integration with centraldata repositories.

b. NOLSC-AMMO is charged with broad inven-tory management responsibilities. This involves re-ceipt, control, and distribution of requisitions forwholesale stocks and the coordination of security as-sistance and interservice support requirements. Theyalso perform the following functions.

(1) Maintain worldwide asset status visibilityby receiving and recording transaction reports fromapproximately 1100 reporters of ordnance items.

(2) Receive and process requisitions forwholesale stocks. Distribute ordnance from new pro-duction and maintenance activities. Redistribute exist-ing inventories to satisfy changing Fleet requirements.

(3) Perform centralized financial inventoryaccounting and accomplish billing for stock-points inconnection with the movement of material.

(4) Stratify ordnance assets to identify long-supply and potential excess items.

(5) Serve as the single commercial transporta-tion management office responsible for the planning,coordinating, and monitoring of overseas shipments ofNavy, Coast Guard, Marine Corps (when suppled fromNaval activities), and Foreign Military Sales (FMS)ordnance.

6.5.1.2 NOLSC Ammunition Management Office.

a. NOLSC AMMOLANT Norfolk, VA andNOLSC AMMOPAC San Diego, CA provide a singlepoint of contact for their customers, and retail supplypoints for requisition management and tracking. Eachis the office responsible for Fleet requisition process-ing, Fleet interface, and coordination of schedulingordnance movements in their areas of responsibility.NOLSC AMMOPAC is additionally responsible forcoordinating Opportune Lift (OPLIFT, Vertical Re-plenishment (VERTREP) and Navy Liaison Office(NLO) actions for the Pacific region.

b. Additionally, NOLSC AMMOLANT Norfork,VA and NOLSC AMMOPAC San Diego, CA:

(1) Analyze the potential effectiveness ofcandidate cross-deck evolutions and coordinate cross-decking.

(2) Publish cross-deck guidance messages toships that will supply the ammunition and providespecific direction on which assets and asset quantitiesare to be tranferred, when and where the ammunitionwill be transferred, and what assets are to be retainedonboard.

6.5.1.3 Responsibilities of Fleet Units and ShoreActivities having custody of non-nuclear ordnance.



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a. Custodial accountability for ordnance in theirpossession.

b. Property management, including responsibil-ity for damage, loss, or destruction of ordnance intheir possession.

c. Reporting, as required by NOLSC-AMMO,the status of assets in their possession by quantity, lotnumber, serial number, and condition.

d. Perform physical inventories of assets in theirpossession and maintain accurate stock records. Thephysical inventory program is described in Chapter6.4, Section 6.4.6 of this volume.

6.5.1.4 Single Manager of Conventional Ammunition(SMCA) Assigned Ammunition. The inventory man-agement responsibilities for SMCA-assigned ammuni-tion are specified beyond that which is listed for allother Navy-assigned ordnance.

a. The IM responsibilities for SMCA-assignedammunition are contained in DoD 5160.68. The in-struction assigns the following IM responsibilities tothe SMCA:

(1) Provide the specific inventory manage-ment functions defined below for assigned convention-al ammunition stored at SMCA facilities. Thesefunctions may be provided for Military Service re-tained items on a cost reimbursable basis, as allowedby DoDI 4000.19.

(a) Responsibility for custodial account-ability for assigned conventional ammunition. TheSMCA is relieved of custodial accountability uponreceipt by Military Service-Accountable Officers atthe first retail point or consumer level.

(b) Report, as required by the MilitaryServices, the status of assigned Military Service-owned assets.

(c) Perform physical inventories perDoD 5100.76-M.

b. DoD 5160.68 assigns the following inventorymanagement responsibilities for SMCA-assigned am-munition to the Military Services.

(1) Provide conventional ammunition receipt,storage, and issue requirements to the SMCA.

(2) Provide contingency requirements to theSMCA.

6.5.2 Requisitioning.

6.5.2.1 General. Basic instructions concerning thepolicy, scope, and procedures for processing MIL-STRIP requisitions are contained in NAVSUP P-485,Volumes I, II and III. Specific ordnance requisitioningprocedures, ashore and afloat, are contained in NAV-SUP P-724 and FLT Combatant Commander instruc-tions. Specific procedures governing requisitioningchannels and draw down of OT cognizance materialby U.S. Marine Corps units are outlined in U.S.Marine Corps directives. Material needs are satisfiedby the preparation and submission of MILSTRIPrequisitions, redistribution orders, and referral ordersand referral orders in accordance with NAVSUPP-485. These represent supply action documents initi-ated in connection with the following:

a. Ammunition required for annual training ex-ercises, and/or replacement for ordnance expendedduring Fleet exercise training within remaining al-locations.

b. Ammunition required in support of ResearchDevelopment Test and Evaluation (RDT&E) programswithin an established allocation, maintenance pro-grams, or Quality Evaluation (QE).

c. Ammunition required to supply ship serviceallowances for deployment.

d. Ammunition required due to adjustments inmission loads or underway replenishment ship cargoloads.

e. Stockpile manager-directed relocation am-munition.

f. Initial on-load of ammunition for newlyconstructed or reactived ships, and on-load of am-munition for ships leaving overhaul.

g. Segregation of ordnance being transferred toa disposal account and movement to disposal.

h. Ammunition requisitioned for T-AE/AOE/AScontingency cargo load.

6.5.2.2 Requisitioning Document. All ammunitionrequisitions are submitted via NOLSC-AMMO’s Ord-nance Information System-Wholesale (OIS-W) orMILSTRIP message. Requisition will then be for-warded for action to NOLSC AMMOPAC, San Diego,CA, NOLSC AMMOLANT, Norfolk, VA, Commander,Logistics Forces, Western Pacific (COMLOGWEST-PAC) or CTF 63. MILSTRIP messages containingclassified information, classified remarks, or classified



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exception data must only be submitted s an adminis-trative naval message transmitted to NOLSC-AMMO,NOLSC AMMOPAC, NOLSC-AMMOLANT, COM-LOGWESTPAC or CTF 63. Requisitions sourced viaOIS-W will produce an audit trail for the life cycle ofthat document. Requisition In English (RIE) formatmay be used for requisitions with priority Codes 01throught 03. The AMMO personnel will transcribe therequisition into MILSTRIP format and refer it to theappropriate stocking point.

6.5.2.3 Method of Transmission.

a. Initial Requisition:

(1) OIS-W

(2) MILSTRIP message via the Defense Mes-saging System (DMS).

b. Ammunition MILSTRIP Requisition Follow-up.

(1) Initial status on all requisition submittedwill be provided via OIS-W. If initial status is notreceived within seven (7) days, a MILSTRIP follow-up (document identifier AT_) is submitted to NOLSC-AMMO using RIC NCB.

(2) The status of MILSTRIP requisitions thathave been processed through the Defense AutomatedAddressing System (DAAS) from activities can addi-tionally be tracked using a web-based tool developedby the Defense Automated Addressing System Center(DAASC).

(a) A System Access Request (SAR) canbe processed at their website: https://www.daas.dla.mil.

c. ROLMS is the Department of the Navy(DoN) automated system for reporting ammunitiontransactions to OIS-W.

6.5.2.4 Uniform Material Movement and Issue Prior-ity System (UMMIPS). The efficient movement andissue of non-nuclear ordnance items depend on consid-eration of the relative importance of demands forsystem resources, such as material assets, transporta-tion, manpower, processing capabilities, etc. UnderUMMIPS the relative military importance of anactivity or special project is indicated by a Force/Ac-tivity Designator (F/AD), assigned by the headquartersorganization having command and support responsibil-ity (i.e., NAVSEA, TYCOM, etc.). The F/AD is usedby the requisitioning activity in conjunction with avariable Urgency of Need Designator (UND) to

determine the numeric Issue Priority Designator (IPD)to be indicated on each requisition. The derived IPDexpresses its relative military urgency during requisi-tion, issue, and movement transactions. The UMMIPSsystem is fully described in OPNAVINST 4614.1F.UMMIPS procedures apply to organic supply supportoperations and to stocked items only. In no instanceare F/ADs or IPDs assigned for government contractoruse. A different system is used for establishingcontractor production and delivery priorities. FleetCommanders, CMC, and Systems Commands areresponsible for assigning F/ADs to the activities undertheir respective commands. To prevent proliferation ofhigh priority requisitions, OPNAVINST 4614.1F re-quires that F/AD assignments be strictly observed andthat the assigned IPDs be consistent with the actualurgency of need. To ensure compliance, the OPNA-VINST 4614.1F requires close system monitoring byheadquarters activities of assigned F/ADs, and continu-ing local review of specific higher priority IPDs. Localassignment of UNDs is determined by applying theurgency of need guidelines contained in enclosure (3)of OPNAVINST 4614.1F. The following generalizationsuffices for present purposes.

a. UND A. Used when the requirement is im-mediate and without the needed material the activityis or will shortly be unable to perform its missions.

b. UND B. Used when the requirement is urgentbut not yet critical and could result in impairment ofthe mission if material is not received in a timelymanner.

c. UND C. Used for more or less routine re-quirements such as stock replenishment, material tomeet schedule deployment, the initial ordering of al-lowance list material, or when the required deliverydate for the material is sufficiently in the future.

The following matrix illustrates how a numeric IPDis derived by combining the activity’s (or specificproject’s) F/AD (I, II, III, IV, or V as appropriate)with one of three alphabetical UNDs.

UNDs

Unable toPerformMission

ImpairedOperationalCapability

Routine

F/ADs A B C

I-In Combat 1 4 11

II-Positionedfor Combat

2 5 12

III-Positioned toDeploy/Combat

3 6 13



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IV-Other Activityand Selected

7 9 14

V-All Other 8 10 15

An RDD is conditionally indicated on requisitionsfor use in conjunction with the IPD. The RDD is aJulium date specifying when material is required bythe requisitioner at a date different than the standard(published in OPNAVINST 4614.1F. When the RDIis other than the assigned standard, its Julian date isindicated in the requisition in accordance with MIL-STRIP format. When the RDD earlier than the as-signed standard processing time is indicated on therequest document, all activities shall exert maximumeconomic effort (including consideration of high-speed transportation) to deliver the material by thespecified RDD. When critically needed items requireexpeditious handling, the numerical code “999” isentered in the RDD field of the MILSTRIP requisi-tion. Only those requisitions bearing IPDs 01, 02and 03 for overseas, afloat, and deploying forces areeligible for “999” assignments. Specific UMMIPSpriority codes are also used for retrograde. Returnedmaterial is moved without regard to F/AD assign-ment of the activity or units involved, and priorities03, 06, and 13 automatically assigned for such useas follows:

d. Priority Designator 03. Return of critical andintensively managed items.

e. Priority Designator 06. Return of materialidentified by the material manager for automatic re-turn.

f. Priority Designator 13. Routine return of ma-terial.

6.5.2.5 Project Codes. Project codes are mandatoryentries in CC 57-59 of all Navy requisitions. Projectcodes most frequently used in ammunition requisition-ing are shown in NAVSUP P-724, Chapter 2, Attach-ment 2-3. NAVSUP P-485, Volume II, Attachment 6,provides a complete list and additional information onproject codes. Special Project Codes are assigned toJoint Chiefs of Staff direct operations. Project Codesare perpetuated on all related documentation, and aspart of the shipping container markings. They are usedto identify requisitions and related documents toenable managers to monitor shipments and accumulatecosts and performance data pertaining to:

a. Special projects.

b. Operations.

c. Exercises and maneuvers.

Such codes do not provide or imply priority for req-uisition processing or supply decisions. To do so,requires that the assigned project code be used inconjunction with an appropriate IPD. NAVSEA hasstipulated that project codes in the 800 series will bereserved for requisitioning and turn-in of Navy andMarine Corps non-nuclear ordnance. Requests for theassignment of new project codes for recurring use inrequisitioning and turn-in of non-nuclear ordnance arecoordinated with NOLSC-AMMO by NAVSEA. Req-uisitions with OSD or JCS project codes are rankedabove all other requisitions with the same prioritydesignators. When system-wide inventory levels donot permit positive designator, supply procedures willprovide for a release of requisitions containing OSDand JCS project codes.

a. Special projects.

b. Operations.

c. Exercises and maneuvers.

Such codes do not provide or imply priority for req-uisition processing or supply decisions. To do so,requires that the assigned project code be used inconjunction with an appropriate IPD. COMNAV-SEASYSCOM has stipulated that project codes inthe 800 series will be reserved for requisitioning andturn-in of Navy and Marine Corps non-nuclear ord-nance. Requests for the assignment of new projectcodes for recurring use in requisitioning and turn-inof non-nuclear ordnance are coordinated withNOLSC by COMNAVSEASYSCOM. Requisitionswith OSD or JCS project codes are ranked above allother requisitions with the same priority designators.When system-wide inventory levels do not permitpositive supply action on all requisitions with a giv-en priority designator, supply procedures will pro-vide for a release of requisitions containing OSDand JCS project codes. A listing of non-nuclear ord-nance project codes is found in NAVSUP P-724.

6.5.2.6 Requisition Processing.

a. OIS-W validates the entries in any requisi-tion, whether directly input to OIS-W or entered viaDAAS. Fleet requisitions with errors are routed bythe IM to the appropriate NOLSC-AMMO Office. TheNOLSC-AMMO Office will liaison with the requisi-tioner and try to correct the error(s), or explain whythe requisition is invalid.

b. Valid requisitions go through an automaticsourcing process. If the ordnance ordered is available



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at load sites, OIS-W automatically refers the requisi-tion to the load site to fill. There are exceptions tothis automated sourcing.

(1) Requisitions with one of the followingconditions will be routed to the appropriate NOLSC-AMMOPAC, NOLSC AMMOLANT, or NOLSC-AMMO IM

(a) Issue Priority Group I, Priority 1, 2,or 3.

(b) Remarks.

(c) Errors, or the quantity exceedsallowance.

(2) Requisitions for the following ordnancematerial will be routed to the appropriate IM:

(a) AEPs/PADS will be submitted in ac-cordance with NAVSUP P-724, Chapter 4, Section 6.

(b) Ordnance material whose NSN iscoded with an Issue Restriction Code (IRC).

c. When the ordnance material requisitioned isnot available at the load site, the requisition will bedirected to the appropriate NOLSC-AMMO Office.The NOLSC-AMMO Office personnel will look forthe most cost effective source of the ordnance. Ord-nance may be sent from another stocking point, orcross decked from another unit.

d. If the ordnance is not available in theNOLSC-AMMOPAC, NOLSC AMMOLANT or the-ater logistic agent area of responsibility, the requisi-tion is forwarded to the appropriate IM at NOLSC-AMMO for action.

e. NOLSC-AMMO Office and theater logisticsagents will coordinate shipfill/cargo load cross deckopportunities whenever the chance arises, in accor-dance with Fleet load plans, to meet requisitioner’sneeds. This includes having needed top off ordnanceaboard duty T-AE/AOE ships during major Fleet ex-ercises. Keeping serviceable ordnance at sea is costeffective and efficient.

f. NOLSC-AMMO Office personnel, NOLSC-AMMO IMs, or stock point personnel will adjust re-quested quantities to unit pack quantities wheneverpossible to save time and money. The requisitionerwill be notified of any changes in quantity.

g. Status Messages.

(1) When NOLSC-AMMO Office personnelprocess RIE requisitions, they send a status message inMILSTRIP format to the requisitioner and supplemen-tary addressee within five working days, notifyingthem of the requisition by serial number and initialaction taken.

(2) For loads at Fleet ordnance handlingactivities, NOLSC-AMMO Office personnel will en-sure a message is sent approximately 30 days prior tothe start of the loadout evolution. This message willgive the complete status of all outstanding requisitionsfor that requisitioner in an easily understood formatand will indicate the point of contact for onloadcoordination. This message will be followed up withanother message seven days prior to the start of theevolution, with the status of all the requisitions andother details.

6.5.2.7 Requisition Validation and Monitoring. TheMILSTRIP requisitioning system, described in NAV-SUP P-485, prescribes procedures, forms, formats, anddocuments which are mandatory for requisitioners, andsupply support activities. Its uniform codes, forms,formats, and procedures for transmitting requisitioningdata apply in the Navy supply system to all centrallymanaged items. The detailed procedures for processingrequisitions are predicated on the need for accurateinventory system record keeping and accountability,and for effective material support of the Fleet.Violations of the standard MILSTRIP format andcommunication/delivery media tend to impair theintegrity of the MILSTRIP structure and minimize itseffectiveness. For such reasons, the validation andmonitoring of material requests (manually and byautomated means) are features of the MILSTRIPrequisition process. The range of data that requiresvalidation by the supply source during processing isextensive and therefore beyond the scope of thismanual. Validation procedures are documented com-prehensively in the NAVSUP P-485, and NAVSUPP-724, FLT Combatant Commander instructions, andin the field activity internal procedures manuals. PartE: Material Obligation Validation (MOV) of NAVSUPP-485 Vol. III discusses in detail the elements of dataon a MILSTRIP document requiring validation and theprocessing action to be taken in each case. Atstock-points where stock records are computerized, itis essential to maintain stringent quality control toensure machine acceptance of requisition data. Screen-ing of requisitions against authorized allowances andstation Load Plans is performed by NOLSC-AMMOpersonnel. This screening is primarily to resolveconflicting demands concerning the distribution ofmaterial among several claimants, or between Fleet



6-5-6

combat and Training, Testing, and Current OperationalRequirements (TTCOR), when material is in a lowstock position. In such cases, resolution of allowanceconflicts is coordinated by the item manager based onhis knowledge of the exceptional nature and priority ofactivity requirements.

6.5.2.8 Requisitioning Ordnance from the SMCA.

a. SMCA-Assigned Items. Requisitions toSMCA for ammunition items to be filled from whole-sale stock are forwarded to the Joint Munitions Com-mand (JMC) by NOLSC-AMMO. This is accom-plished by using a MILSTRIP Release Order (MRO)indicating a document identifier in the A4-series. TheJMC selects the source of supply and directs ship-ment by issuing a Material Release Order to theSMCA storage site. Shipment status is provided whena valid distribution code is indicated in the referralorder. The JMC does not accept requisitions sub-mitted directly by Navy retail customers; such requi-sitions received by the JMC are passed to NOLSC-AMMO.

b. Non-SMCA-Assigned Items. Material ReleaseOrders for non-SMCA-assigned ordnance items storedat Army storage sites are submitted directly to thestorage site by NOLSC-AMMO. Copies or facsimilesof such release orders are provided to the JMC. Inturn, the storage site will forward a Material ReleaseConfirmation to NOLSC-AMMO.

c. Material Release Denial (MRD). An MRD isprepared in MILSTRIP format by the storage activityfor that portion of the total quantity specified in therequisition/MRO which cannot be shipped.

6.5.2.9 Follow-Up Modifier Actions or Cancellations.The Navy or Marine Corps unit initiating a requisition,regardless of where it has been referred to, shallsubmit follow-up modification or cancellation requestsin MILSTRIP format to NOLSC-AMMO (NCB),NOLSC AMMOLANT, Norfolk, VA (NTW), orNOLSC AMMOPAC, San Diego, CA (NTV), or inRIE format to the appropriate Ammunition Manage-ment Office. An information copy will be submitted tothe loadout point, unless the unit is overseas. Whenunits are deployed or home-ported overseas, theaterguidance for addressees applies.

6.5.3 Inter-Service Support.

6.5.3.1 Coast Guard.

a. The policy of exchanging personnel, vessels,facilities, equipment, supplies, and services betweenthe Navy and the U. S. Coast Guard is based onstatutory authority (Title 10, USC, Section 2571 andTitle 14, USC, Chapter 145). The logistics supportpolicy existing between the Navy and the Coast guardis promulgated by OPNAVINST 4000.79A.

6.5.3.2 Standing Approval List (SAL).

a. To achieve transportation savings by reducingcross-hauling of ordnance items common to two ormore of the Services, the SMCA is authorized tosubstitute assets under ownership of one Service tosatisfy a requisition by another Service.

b. Inter-Service Transfer Conditions.

(1) Items must be common usage items (notService unique), authorized by the Services for listingon the latest update of the SAL (pyrotechnics FSC1370 are excluded).

(2) Transfers of items are made only ifsimultaneous replacement by record repayment atanother SMCA activity can be made.

(3) The payback item must be the same NSNand in the same quantity as the transferred item.

(4) The condition of the payback item mustbe the same or better than the condition of thetransferred item.

(5) Inter-service transfers are followed byissue and receipt transactions, and depot lot recordsare changed to reflect new Service ownership withinfive days.

c. Navy Criteria for Items to be Designated asSAL Items.

(1) Be SMCA-managed.

(2) Be used by one or more of the otherMilitary Services, as evidenced by the existence of theitem by NSN in their stock catalogs.

(3) Not be in Navy short supply.

(4) Not be positioned for a special purpose,such as maintenance.

(5) Not be reserved for a Navy mobilizationrequirement.

(6) Not be palletized in accordance withMIL-STD-1323 for transfer-at-sea.

d. Service and SMCA Responsibilities:



6-5-7

(1) The SMCA must obtain prior approval ineach instance for inter-service transfers of SMCAitems not on the SAL.

(2) All services will annually review andupdate the SAL for additions and deletions dependingon factors 6.5.3.2.c. (3) thru (6).

6.5.4 Fleet Return, Rollback, and Retrograde.

6.5.4.1 General. U.S. Navy ships are deployed withtheir full wartime allowances (service, interim, ortailored) of service ordnance designed to fill shipsmagazines to capacity. Service ordnance certified asserviceable by qualified ordnance personnel ashore, isissued and if not expended is retained until allordnance is off-loaded (e.g., at the time of “ship’savailability”). Expenditures are replenished, but thebasic service load may be kept aboard for up to fiveyears, and only subjected to Operational Level Mainte-nance (OLM). Eventually, the remaining ordnance isreturned to an ordnance activity ashore where it isinspected, run through a segregation or maintenanceline as required, and recertified as serviceable.

6.5.4.2 Fleet Return Policy. The following ordnanceand ordnance details are required to be returned toContinental United States (CONUS) from Fleet unitsand overseas bases (includes rollback and retrograde).

a. Serviceable ordnance in excess of local re-quirements for return to stock.

b. Unserviceable - repairable ordnance in excessor beyond local maintenance capabilities, returned formaintenance.

c. Unserviceable - non-repairable ordnance re-turned for demilitarization and recovery of compo-nents or parts as required.

d. Serviceable ordnance details - for reuse inthe manufacture, or Load, Assemble, and Pack (LAP)of new ordnance.

e. Fired cartridge cases larger than 20mm andall fired brass cases. These shall be classified service-able/repairable/unserviceable in accordance withNAVSUP P-724, and returned for appropriate process-ing.

6.5.4.3 Procedures and Responsibilities.

a. Proper Preparation. Packing, accurate mark-ing/labeling, and complete shipping documentation

are essential for the economical and safe return andsubsequent processing of Fleet returned ordnance.

b. Ships and OCONUS activities expending ord-nance and ships with cargo or mission allowances(service, interim, or tailored) are responsible for ord-nance return procedures as contained in Fleet/logistic/TYCOM directives/instructions. These are enumeratedas follows:

(1) Excess serviceable ordnance or unservice-able ordnance items are to be turned in to the nearestordnance activity ashore.

(2) During expenditure, ships and Fleet activ-ities shall retain all reusable details, as listed inNAVSUP P-724 for return to the nearest ordnanceactivity ashore or to UNREP ships (T-AEs/AOEs) ifpracticable. This includes fired cartridge cases largerthan 20mm and all fired brass cases. These shall beclassified serviceable/repairable/unservicable in accor-dance with NAVSUP P-724 and returned for appropri-ate processing.

(3) Ordnance off-load of the entire allowance,for emergency repair work or yard availability, shouldbe scheduled at a CONUS primary stock-point.

(4) All ordnance turned-in ashore shall bedocumented on form DD Form 1348-1A.

(5) In certain circumstances, such as short-term emergency ship repair, ordnance may be off-loaded for temporary storage ashore. These storagearrangements require TYCOM certification of opera-tional necessity and the Fleet Commander’s authoriza-tion. In this case the following steps will be taken:

(a) The offloaded ordnance will be car-ried on the ship’s stock records.

(b) The shore activity will store the ord-nance load separately.

(c) The shore activity will return theidentical ordnance that was turned in without report-ing receipt or issue transactions, or inspection or sen-tencing.

(6) Ordnance details, such as containers, car-tridge/propelling charge tanks, and ordnance boxes,retained for reuse shall be 100% inspected andcertified empty to ensure that no explosive loadeditems are present. All markings describing the formercontents shall be obliterated, and the container sten-ciled or tagged “EMPTY” or, if used for inertordnance details it shall be stenciled or tagged“INERT.”



6-5-8

c. Ordnance Activities Ashore. A basic logisticsfunction of retail stock-points is the acceptance ofexcess or unserviceable ordnance items and accumu-lated ordnance details turned in.

(1) OCONUS Ordnance Activities. Unservice-able Fleet-returned ordnance, which cannot be madeserviceable with local capabilities or by means ofperiodic MAERU assistance, and excess serviceableordnance items, are offered for redistribution to the IMvia the Fleet Commander or his logistic representative.Accumulated ordnance details with a total weight ofless than one ton may be shipped by earliest availablesurface transportation to the appropriate consigneelisted in NAVSUP P-724. For accumulations over oneton, activities must contact NOLSC-AMMO.

(2) Minor, Secondary CONUS Stock-points.The procedures for receipt by CONUS minor andsecondary retail stock-points of reusable ordnancedetails turned-in by tenant, neighboring expendingactivities, or ships, are the same as for OCONUSshore activities. Shipment to the ultimate consignee isidentified in NAVSUP P-724. Ordnance which may beoccasionally turned-in to minor and secondary retailstock-points, is to be taken up in stock.

(3) Primary CONUS Stock-points. CONUSFleet commands on each coast are the primary pointsfor Fleet-returned ordnance receipt. Procedures forreceiving Fleet returns at primary stock-points are asfollows:

(a) Shipfill Allowance Off-Loads. Ship’sordnance is usually not palletized. Waterfront person-nel check the items for quantity as listed on theship’s DD Form 1348-1, and forward this document

to Ammunition Distribution and Control (AD&C) viaProduction Planning and Control (PP&C) for segrega-tion scheduling.

(b) Cargo and Mission Allowance Off-Loads. This ordnance is usually palletized. The water-front check is performed as described in NAVSUPP-805. If the material is palletized in a MIL-STD-1323 configuration and tagged in accordancewith MIL-STD-129 indicating “Serviceable” (C/Cs“A”, “B”, or “C”), it is taken up in stock as service-able. A check of lots for NAR reclassification and avisual inspection of the pallet load for damage ordeterioration are performed and appropriate tags at-tached for unserviceable or suspended ordnance. Wa-terfront personnel will attach a MIL-STD-129 tag“Suspended - C/C “K”” to each pallet where condi-tion is not readily determinable. Each C/C “K” palletis sent to segregation.

(c) Rollback Returns. Palletized andloose ordnance returned as part of a rollback will beprocessed in the same manner as for ship allowanceand cargo mission allowance off-loads. Receipt at thestock-point may be from commercial or organic ship-pings. In either case, ordnance items will be docu-mented on DD Form 1348-1 or on a ship’s manifest.

(d) Retrograde Materials. This materialconsists of ordnance details and inert components.Retrograde material may be included in rollback ship-ments, off-loaded with ordnance, or received as sepa-rate shipments of retrograde. Unpalletized ordnancedetails and inert components received with ship off-loads of ordnance or included in rollback shipments,should be subjected to the segregation process con-tained in NAVSUP P-805.



6-6-i

CHAPTER 6.6

Transaction Reporting

Table of Contents


6.6.1 General 6-6-1

6.6.2 Transaction Item Reporting (TIR) 6-6-2

6.6.3 Ammunition Transaction Reporting (ATR) 6-6-2


Figure Title Page

6-6-1 TIR Document Identifier Codes 6-6-3



6-6-1

CHAPTER 6.6

Transaction Reporting

6.6.1 General.

6.6.1.1 Asset Reporting. High material costs andlimited assets necessitate accurate up-to-date reportingof world-wide Naval ordnance inventories. Assetvisibility is achieved when stock status of materialinventories, including receipts and expenditures, issystematically reported to Naval Operational Logisit-ics Support Center (NOLSC-AMMO) for updatingcentral files, and current summary information ispublished (or made available on the telecommunica-tions network) for use by planners and InventoryManagers (IMs). In this process, the reporting fieldactivities share responsibility for the accuracy of theinformation reported into the NOLSC-AMMO Ord-nance Information System-Wholesale (OIS-W) records.In the final analysis, the reliability of the non-nuclearordnance asset information system depends on theexercise of good quality control at each step of thereporting process, and on the prompt identification andcorrection and correction of errors and inconsistencies.

6.6.1.2 Stock Status Reporting. Data compiled fromstock status reporting constitute the basis for theall-important function of stratifying, determining re-quirements, and formulating the annual budget. Ifthese data are inaccurate or inadequate, calculationsfor new ordnance procurements and production re-quirements are likewise inaccurate. The issue andredistribution of assets, maintenance planning, dispos-al, and numerous other supply actions all depend onreliable data. To ensure the accuracy of reportedinformation, central and local file data are continuous-ly and systematically reconciled by the Item manager(IM). Navy-owned assets stored at non-Navy activitiesare also reported daily into OIS-W and differences, ifany, are reconciled with the Single Manager ofConventional Ammunition (SMCA).

6.6.1.3 Asset Visibility. Ordnance reporting underOIS-W applies to principal end items and majorsubassemblies which are reported down to, and includ-ing, user level. End-item management policies dictateworldwide and in-depth visibility of items in transit.Accordingly, the OIS-W reporting network is moreextensive than that of Uniform Automated Data

Processing System (UADPS) where items are general-ly considered to be expended from the supply systemwhen issued from the Supply Officer’s accountablerecords. Under UADPS, items issued to suboutletssuch as, shop, or retail issue store are subject tofinancial accounting but do not retain visibility in astock status transaction reporting system, nor are theyconsidered assets in budgetary and procurement cal-culations. Non-nuclear ordnance end items are posi-tioned to meet Chief of Naval Operations (CNO)prescribed distribution objectives and require continualin-depth visibility and central management up to andincluding expenditure.

6.6.1.4 Governing Instructions. NAVSUP P-724 con-tains the detailed policies, procedures, and responsibi-lities governing the reporting of non-nuclear ordnance.Those instructions are supplemented by the Command-er Fleet Forces Command direction.

6.6.1.5 Reporting Network. Terms used in connectionwith the reporting of non-nuclear ordnance are “Trans-action Item Reporting (TIR)” and “Ammunition Trans-action Reporting (ATR)”.

a. TIR. The method of reporting stock statusinformation to NOLSC-AMMO on a daily basis is viaRetail Ordnance Logistics Management System(ROLMS). Reports are submitted by the primary andmajor secondary ordnance stock-points to advise ofchanges to any of the elements of stock status data.In addition to reporting individual item transactions,an asset status card accompanies the daily reportwhich summarizes all reported transactions under aspecific NSN, purpose code, and Condition Code(C/C). Negative reports are required for those itemsfor which no transactions are recorded.

b. ATR. ATRs are submitted via Naval messageon an “as-occurring” basis within 24 hours of a re-portable transaction by activities afloat and ashore(and commercial contractors when required), that arenot on the TIR system. Under ATR reporting, theday’s transactions and the opening and closing bal-ances are reported by DoDIC/NALC for each activeitem. ATR reports are designed to categorize, among



6-6-2

other things, end-use expenditures and allow for ex-planatory remarks.

6.6.2 Transaction Item Reporting (TIR).

6.6.2.1 Reportable Actions. TIR through the Depart-ment of Defense (DoD) and Navy communicationsystem enables near real-time reporting TIR by shoreactivities, which is essential to provide a reliabledatabase of ordnance inventory information. Therefore,continuous, intensive, and careful management andreporting of ammunition is essential. Transactionreports automatically update the OIS-W database forall Navy ammunition. TIRs are the standard MilitaryStandard Transportation Reporting and AccountingProcedures (MILSTRAP) format. ROLMS, level 3generates TIRs for electronic transmission to OIS-W.

a. Activities reporting ammunition designated asserial or lot number controlled are required to submitthe specific lot/serial data simultaneously with thereportable transaction. A lot or serial record will alsobe maintained for those items which have lot or serialnumbers assigned but are not designated as a lot/seri-al reportable item.

b. TIRs will be submitted within 24 hours (oneworking day) after completion of the event (receiptissue, expenditure, assembly, disassemble, test, in-spection, inventory, reclassification, re-identification,etc.). Transactions for Categories I and II items (Se-curity Risk Codes 1, 2, 5, 6, and 8) will always bereported within 24 hours after completion of theevent, with exception to major off-loads at weaponstations which may be extended to 72 hours. Thespecific document identifier series used for reportingordnance transactions are listed in Figure 6-6-1 forinformation.

c. A separate record must be maintained byNINN, Ownership Code/Purpose Code/ACC, Condi-tion Code, and physical location of the item.

d. All transactions required as a result of re-ceipt, issue, expenditure, assembly, disassemble, reno-vation, test, inspection, production, disposal, and in-ventory functions will be posted to the local record.

6.6.2.2 Financial Inventory Reports (FIR). All NavyTIR reporters are required to perform financial report-ing. TIR activities shall submit reports using FIR andFund Codes associated with applicable Document

Identifier Codes (DICs). Applicable FIR and FundCodes are found in NAVSUP P-724. NOLSC-AMMOprepares and submits the monthly FIR report to theCommander Naval Supply Systems Command (COM-NAVSUPSYSCOM) in accordance with NAVCOMPTManual Vol. 8., Chapter 5. NOLSC-AMMO preparesthe Foreign Military Sales (FMS) billing data set andforwards to the Naval Inventory Control Point (NA-VICP) Mechanicsburg PA.

6.6.3 Ammunition Transaction Reporting (ATR).

6.6.3.1 Reportable Actions. ATRs are used to reportammunition supply transactions by Naval activities andcommercial ordnance and handling activities that donot have TIR capability. ATR is a method of reportingtransactions involving Naval conventional ordnance.ATRs are transmitted via formatted message for alltransaction types, used variable length transactionlines.

a. All Navy-owned material assigned a DoDIC/NALC is reported by the ATR activities. An initialreport is compiled to establish balances, subsequentreports are compiled to submit receipts, issues, expen-ditures, inventory adjustments and maintenance trans-actions.

b. Negative reports and asset status summarycards are not required for ATRs, since a running sum-mary is maintained by NOLSC-AMMO based on theinitial activity report, containing the following:

(1) DoDIC/NALC of each item in stock.

(2) On hand last report.

(3) Quantity on board total.

(4) Quantity serviceable.

(5) Quantity unserviceable.

6.6.3.2 ATR Numbering. The initial ATR report isassigned “serial number one”. Individual transactionsare numbered serially from the initial report (e.g.,serial one, serial two,...serial thirty-nine...etc.). Theserial numbers are used by NOLSC-AMMO tocompare and adjust the OIS-W inventory balancesrecorded for the activity and to detect missing reports.ATRs are submitted via Naval message.



6-6-3

Transaction Document Identifier (Series)

Dual adjustment (increase and decrease) resulting from purpose transfer.

Dual adjustment (increase and decrease) resulting from condition transfer.

DAD

DAC

Receipt transactions based on procurement instrument source (e.g., commercial procurement,Military Interdepartmental Purchase Record (MIPR), receipt of material assembled based on aproject order).

D4 Series

Receipt of transaction from other than procurement (e.g., return of material to inventory, receipts from other locations, receipts from non-Navy sources).

D6 Series

Issue transactions (e.g., to Navy, DoD, non-DoD activities, to foreign countries, to testand evaluation, to activities as government furnished material for production or Loading,Assembling and Packing (LAP), to others as defined in Appendix of NAVSUP P-437).

D7 Series

Single adjustment transaction (e.g., changes or transfer of condition code or purpose code). D8/D9 Series

Reidentification of stock (e.g., used for previously misidentified items or for changes andas a result of renovation).

D8/D9 Series andD6/D7 (renovation)

Reversals (e.g., cancellation of an adjustment transaction). D8/D9 Series

For Further Transfer (FFT) (for material passing through NAVSEA ordnance stock-points). BGC

Items determined to be beyond economical repair and transferred to the property disposalofficer.

DJ7

Negative transaction report. BZA

Figure 6-6-1. TIR Document Identifier Codes



6-6-4

6.6.3.3 Report Contents.

a. Lines 1 through 6 of the transaction messagecontain the Unit Identification Code (UIC) and Activ-ity Classsification Code (ACC) of the reporting activ-ity, the report serial number, the transaction date, andthe allocation UIC. (The ACC codes for use are listedin NAVSUP P-724). Allocation UIC - The ServiceDesignator Code and five digit UIC of the activity orcommand registered with the Non-Combat ExpenditureAllocation (NCEA), if an expenditure transaction isreported, followed by three slashes (///). Non-combatExpenditure Codes are F, G, H, and R, if issue ismade to a non-reporter. NAVSUP P-724 provides asummary of ATR transaction codes. Exception: Forspecified financial reports, listed in NAVSUP P-724,one slash (/) will follow the Allocation UIC and an“F” (for financial) followed by three slashes (///)which ends the Header Line. The allocation UIC maybe the same as the Reporting UIC. A separate ATR isrequired for each different Allocation UIC.

b. Transaction Lines. The transaction line isused to describe the actual transaction. A transactionline refines the Naval Ammunition Logistics Code

(NALC) and National Item Identification Number(NIIN), Condition Code (C/C), beginning balance,transaction code (type of transaction), the transactionquantity, Serial/Lot Item Tracking (SLIT) data whenrequired, the Consignor UIC (UIC From) for receiptsor Cosignee UIC (UIC to) for issues, the documentnumber and ending balance.

c. Remarks. The REMARKS sections will notbe used for reporting transactions. Remarks sectionshould be used for amplification of transactions andto list a Point of Contact.

d. Off-load and Annual Reconciliation ATR Re-ports. A Reconciliation Transaction (B and T Trans-action) will be forwarded to OIS-W for each NIIN,Activity Classification Code (ACC) and CC on anannual basis. All ships will complete a record-to-re-cord reconciliation within two weeks after a completeoff-load. Any discrepancies between activities on-hand balance and OIS-W computed on-hand balancemust be reconciled. NOLSC-AMMO will produce anannual report schedule. ROLMS activities will auto-matically provide Begining and Total (B&T) transac-tions for all assets on the scheduled report date.



6-7-i

CHAPTER 6.7

Stratification Process

Table of Contents


6.7.1 General 6-7-1

6.7.2 Stockpile Stratification Initialization 6-7-1

6.7.3 Total Munitions Requirement (TMR) Baseline Development 6-7-2

6.7.4 Annual Preliminary Stratification Review Procedures 6-7-2

6.7.5 On-site Stratification Review Procedures 6-7-3

6.7.6 Final Stratification Procedures 6-7-3

6.7.7 Cross Leveling 6-7-3



6-7-1

CHAPTER 6.7

Stratification Process

6.7.1 General. Per NAVSUP P-724 this section pro-vides policy and procedures for executing the annualammunition stratification review, identification of essen-tial Acquisition/Program Manager participation in sup-port of the Naval Operational Logistics Support Center(NOLSC-AMMO) and procedures for generating re-quired reports to Commander Naval Supply SystemsCommand (COMNAVSUPSYSCOM). NOLSC-AMMOconducts the annual on-site (Mechanicsburg, PA) strati-fication review of the ordnance inventory. This reviewincludes identifying requirements identifying and docu-menting end of Fiscal Year (FY) inventory, comparingrequirements to inventory, reviewing and determiningretention levels and potential excesses. During stratifica-tion, the ordnance inventory is broken down into fourcategories, Total Munitions Requirement (TMR), Eco-nomic Retention Munitions Stock (ERMS), ContingencyRetention Munitions Stock (CRMS), and PotentialReutilization/Disposal Stock (PR/DS). The procedurescited do not apply to locally managed and stockResearch, Development, Test and Evaluation (RDT&E)and 0T Cog Items.

a. The definitions of the four categories are asfollows:

(1) Total Munitions Requirement (TMR). TheTMR provides the baseline for comparison withon-hand/inventories and the determination of long/sup-ply/excess. TMR calculations include requirement lev-els in the Non-Nuclear Ordnance Requirement(NNOR), asset quantities necessary to satisfy theapproved Non-Combat Expenditure Allocation (NCEA)and sufficient assets to sustain projected conbatexpenditures.

(2) Economic Retention Munitions Stock(ERMS). Assets greater than the TMR for which it isdetermined to be more economical to retain for futurepeacetime issue than to dispose and re-procure and/orrepair in the out years. To warrant economic retention,items must have a reasonable predictable requirement.

(3) Contingency Retention Munitions Stock(CRMS). Assets greater than the TMR for which thereis no predictable or quantifiable requirement, but

which are retained for specific national defensecontingencies. CRMS can be retained to supportRDT&E programs, projected modification programs,FMS Sales-from-Stock with planned Replacement-in-Kind, potential redeployment of deactivated ships/weapon systems, and treaty requirements.

(4) Potential Reutilization/Disposal Stock(PR/DS). All assets greater than the TMR that are notretained as ERMS or CRMS. Material that has thepotential for being sent to the Defense Reutilization byanother DoD Component or by a Federal, State, orlocal government agency; or for disposal through saleto the public.

6.7.2 Stockpile Stratification Initialization.

a. The stratification process is initiated byNOLSC-AMMO. Annual identification of obsoleteitems and migration into Ammo Class “X” categoryoccurs during May and June.

b. NOLSC-AMMO reviews and validates strati-fication Navy Ammunition Logistics Codes (NALC)strings and configurations for possible changes. Newitems are added to new stratification numbers arecreated. Validation of stratification control numberstrings in NOLSC-AMMO’s Ordnance InformationSystem-Wholesale (OIS-W) is accomplished annuallyduring July through September timeframe.

(1) Stratification Level. Stratification will beaccomplished at DoDIC/NALC level with substituteDoDIC’s grouped with the prime. Items not assigned aDoDIC/NALC will be reported by NSN.

c. Calculate baseline TMR - see paragraph 6.7.3.

d. NOLSC-AMMO received from CNO (N702)the constrained Non-Nuclear Ordnance Requirements(NNOR) and Non-Combat Expenditure Allocation(NCEA) data.

e. NOLSC-AMMO issues letter to Acquisition/Program Managers requesting:



6-7-2

(1) Requirements data for newly catalogeditems that do not have established requirements.

(2) Requirements data for Non-NNOR tacticalitems and components, containers and miscellaneousparts use factors that relate their requirements toNNOR end-item quantities.

6.7.3 Total Munitions Requirements (TMR) Base-line Development.

a. Total Munitions Requirements (TMR). Thesum of War Reserve Munitions Requirements(WRMR) and Training/Testing, Current OperationalRequirements (TTCOR). The total munitions require-ments is equivalent to the Approved Acquisition Ob-jective (AAO).

(1) War Reserve Munitions Requirements(WRMR). The sum of Combat Requirements, ResidualReadiness Requirements, and Strategic Readiness Re-quirements.

a. Combat Requirements (CR). The quantity ofmunitions required to equip a specified force struc-ture to its designed military capability and to meetCombatant Commander requirements for decisive de-feat of the enemy. That includes munitions needed foroperational flexibility during conflict.

b. Residual Readiness Requirement (RRR).Munitions necessary to provide a post-Major TheaterWar (MTW) combat capability for forces committedto the Defense Planning Guide (DPG) specified sce-narios. Combat requirements include munitions need-ed for operational flexibility and some of those muni-tions may remain at the conclusion of the scenarios,than the RRR should be decreased by the amountremaining. Otherwise the RRR is additional.

c. Strategic Readiness Requirement (SRR). Thequantity of munitions needed to arm forces not com-mitted to support combat operations in the assignedMTW. It also includes any additional munitions re-quirements to meet treaty or statutory obligations toallies.

(2) Training, Test, and Current OperationalRequirement (TTCOR). Munitions requirements totrain the forces and to support Service programsensuring that weapons and platforms deliver theintended effectiveness. Quality Evaluation (QE) testingof munitions items is accounted for in that block.

Current operational requirement encompasses peace-time operational requirements (i.e. natural disasters,riot control, saluting rounds, and explosive ordnancedisposal operations and operations other than war) anddeployed force requirements in excess of the assignedconflict’s requirements. A seven year supply ofTTCOR (current year requirement plus budget andProgram Objective Memorandum (POM) years) is thenormal stockage level of stock-pile objective.

(3) Approved Acquisition Objective (AAO).The quantity of an item authorized for peacetime andwartime requirements to equip and sustain U. S. andAllied Forces in accordance with current DoD policiesand plans. This quantity shall be sufficient to supportother U. S. Government agencies, as appropriate. Thisis considered equivalent to the Total Munitions Re-quirement (TMR).

(4) The following computation criteria is usedin the development of the TMR:

(a) For NNOR items: The highestWRMR from the POM/PR cycle is added to the sumof the 1st and 2nd fiscal years fiscal years of NCEAand the sum of the 3rd through 7th year of the Testingand Training Requirements (TTR) and projected com-bat expenditures.

(b) For Non-NNOR tactical items: TheAcquisition/Program Manager’s POM/PR WRMR(2E, 2T, 6T) added to the sum of the 1st and 2nd

fiscal years of NCEA plus the 3rd through the 7th

year of TTR.

(c) For Training Only Items: The sum ofthe 1st and 2nd fiscal years of NCEA plus the 3rd

through the 7th year of TTR.

6.7.4 Annual Preliminary Stratification ReviewProcedures.

a. NOLSC-AMMO executes a preliminary runof the stratification model annually in July to validateinput data and again at the beginning of October tocapture end of FY asset posture in OIS-W.

b. NOLSC-AMMO reviews and forwards end ofFY report Acquisition/Program Managers in early Oc-tober.

c. Acquisition/Program Managers review for po-tential excess and provide written justification to



6-7-3

NOLSC-AMMO for all ordnance economic and con-tingency retention munitions stock decisions.

6.7.5 On-site Stratification Review Procedures.

a. NOLSC-AMMO hosts the annual on-sitestratification review in mid-November with Acquisi-tion/Program Managers and Resource Sponsors in at-tendance.

b. The on-site review is announced by letter inearly September and followed-up by Naval message.

c. During the on-site review, NOLSC-AMMOStock-pile Managers and the Acquisition/ProgramManagers or designated representatives, review strati-fication requirements by line item.

d. Retention justifications are documented on amaster form along with signatures of respective Ac-quisition/Program Managers and NOLSC-AMMO rep-resentatives.

e. NOLSC-AMMO enters updated requirementsdata and remarks for retention decision into OIS-Wprior to final stratification run in early December.

6.7.6 Final Stratification Procedures.

a. When the final stratification model run iscomplete, results are compiled and long supply itemsare identified.

b. NOLSC-AMMO develops input to the NavalSupply Inventory Report (SSIR) no later than 15 De-cember annually.

(1) Data provided in support of the NavySSIR is extracted from final stratification results.Wholesale Dollar Values are tabulated by COG asfollows:

(a) Total Munitions Requirement (TMR).

(b) In-Transit Stock.

(c) Economic Retention Stock.

(d) Contingency Retention Stock.

(e) Potential Re-Utilization/Disposal Stock.

(f) Total Assets.

6.7.7 Cross Leveling.

6.7.7.1 The annual stratification provides the basisfor cross leveling. Upon completion of the finalstratification run, a PR/DS excess list will be gener-ated by NOLSC-AMMO in mid-January and for-warded to the Inventory Managers. Concurrent withthe development of the PR/DS excess list, the stratifi-cation coordinator will also generate two listings basedon final stratification results.

a. The first list will contain all items of longsupply in the ERMS, CRMS and PR/DS categories.This list is forwarded to all Acquisition/ProgramManagers, In-Service Engineering Agents (ISEAs),Special Operating Forces, Marine Corps, Army, AirForce, Coast Guard and the Office of the ExecutiveDirector for Conventional Ammunition (O/EDCA) nolater than the end of January.

b. The second list will contain only items withassets in the PR/DS category. This list is forwardedto the Navy International Program Office (NIPO) nolater than the end of February. These items are of-fered for potential sale to FMS customer countries.

6.7.7.2 These recipients review and identify crossleveling or sales-from-stock candidates. MILSTRIPProject Code “3AH” is used for all services to identifycross leveling actions. The order of precedence forpotential cross leveling of Navy assets is Navy SpecialOperations Forces (SOF), U. S. Marine Corps, Armyand/or Air Force.

a. The O/EDCA will compare other service outyear requirements against the services items of longsupply to identify Quad Service Review (QSR) candi-dates. The QSR is held in late March.

b. NOLSC-AMMO will represent the Navy atthe annual cross leveling review (aka QSR) hosted bythe EDCA. Potential Navy interest in the transfer ofassets from other Services is coordinated by NOLSC-AMMO in coordination with the appropriate Acquisi-tion/Program Manager.

c. The gaining claimant is responsible for anypackaging and transportation cost. The losing claim-ant issues the movement requisition for materialtransfer.

d. NOLSC-AMMO implementation of cross lev-eling actions is reported to the EDCA and applicableAcquisition/Program Managers on a quarterly basis.



7-i

SECTION 7

Logistics Management Support

Table of Contents


7.1 Explosives Safety Management 7-1-1

7.2 Physical Security Management 7-2-1

7.3 Transportation Management 7-3-1

7.4 Environmental Security Management 7-4-1



7-1-i

CHAPTER 7.1

Explosives Safety Management

Table of Contents


7.1.1 General 7-1-1

7.1.2 Joint Hazard Classification System (JHCS) 7-1-2

7.1.3 United Nations Organization (UNO) Hazard Classification System 7-1-4

7.1.4 Acquisition Explosives Safety 7-1-6

7.1.5 Maintenance Explosives Safety 7-1-6

7.1.6 Explosives Safety Ashore 7-1-6

7.1.7 Explosives Safety Afloat 7-1-6

7.1.8 Explosives Safety Ashore, Advanced Bases 7-1-7

7.1.9 Transportation Explosives Safety 7-1-7


Figure Title Page

7-1-1 Explosives Safety Management Organizational Relationships 7-1-3

7-1-2 Storage Compatibility Chart Ashore 7-1-8

7-1-3 Stowage Compatibility Chart for Combatant Ships 7-1-9

7-1-4 Storage Compatibility for Advance Bases 7-1-10

7-1-5 Transportation Compatibility Table for Class 1 (Explosive) Materials 7-1-11



7-1-1

CHAPTER 7.1

Explosives Safety Management

7.1.1 General.

7.1.1.1 Perspective. The primary focus of explosivessafety management is to minimize risk to personnel,facilities, and equipment throughout the life of theordnance. Even though there are personnel specificallyassigned to explosives safety management positions atall echelon levels, everyone working with or aroundordnance should consider themselves responsible forexplosives safety management, and identifying andminimizing risk. The purpose of the Explosives SafetyManagement Program is to specify standardized safetyregulations for the research, development, production,maintenance, care, handling, storage, preparation forshipment, use, and disposal of non-nuclear ordnanceitems. The safety regulations are intended to controlthe hazards associated with these operations including,but not limited to, blast, fire, lightning, Hazards ofElectromagnetic Radiation to Ordnance (HERO), andpropagation.

7.1.1.2 Policy. The following is Navy policy, whichis consistent with operational requirements:

a. Provide the maximum possible protection topersonnel and property, both inside and outside aninstallation or unit, from the damaging effects of po-tential accidents involving non-nuclear ordnance andexplosives.

b. Limit the exposure of a minimum number ofpersons, for a minimum time, to the minimumamount of ordnance and explosives consistent withsafe and efficient operations.

c. Comply with ordnance and explosives safetystandards established by the Department of DefenseExplosive Safety Board (DDESB) and as publishedby Commander, Naval Sea Systems Command (COM-NAVSEASYSCOM) and Chief of Naval Operations(CNO).

7.1.1.3 Scope. The Naval Explosives Safety Programapplies to all personnel, civilian and military, assignedto any part of Department of Defense (DoN) wherenon-nuclear ordnance and explosives are, or may be,present.

7.1.1.4 Responsibilities:

a. CNO exercises general supervision and com-mand authority for the application of technical guid-ance prepared by Commanding Officer, Naval Ord-nance Safety and Security Activity (NOSSA).Withinthe Office of the Chief of Naval Operations (OP-NAV), the Deputy of Chief of Naval Operations forFleet Readiness and Logistics (N4) is responsible forsupervising Navy Explosives safety matters. CNO(N4) coordinates explosives safety policy, programsand guidance which effect Navy and Marine Corpsforces mutually, with the Commandant of the MarineCorps (CMC).

b. NOSSA is assigned responsibilities for theNavy’s explosives safety program to include the fol-lowing:

(1) Interpret DoD explosives safety policycontained in DoDD 6055.9.

(2) Establish Navy explosives safety ashorepolicy and procedures through NAVSEA OP 5, Vol-ume 1.

(3) Establish Navy explosives safety afloatpolicy and procedures through NAVSEA OP 4.

(4) Establish Navy explosives safety ashorefor Advanced Bases policy and procedures throughNAVSEA OP 5, Volume 3.

(5) Establish additional explosives safety pol-icies and procedures through additional instructionsand publications as required.

(6) Provides technical review for the CNOfor all Navy facility site plans (worldwide) at oradjacent to activities where explosives are stored,handled, or maintained, prior to forwarding of suchsite plans to DDESB for approval.

(7) Provides the Chair and a technical repre-sentative for the CNO mandated Ammunition andHazardous materials (AMHAZ) Review Board.

(8) Reviews all requests originating withinDoN for exemptions and waivers from establishedexplosives safety criteria and advises CNO as to thetechnical validity of such requests.



7-1-2

(9) Control the Approval for Navy Use pro-cess of all new or modified ordnance items throughthe Weapons System Explosives Safety Review Board(WSESRB).

(10) Conducts Explosives Safety Inspections(ESIs) of all shore activities. and ordnance readinessreviews of all ships, where ordnance is handled orstored to ensure compliance with appropriate direc-tives.

c. Packaging, Handling, Storage, and Trans-portation (PHS&T) Department, NAVSEA IndianHead Detachment Earle, NJ. The PHS&T Departmentprovides explosives safety program publication sup-port to NOSSA. The PHS&T Department is responsi-ble for placing the item’s explosive data, along withthe other item catalog data, into the SW020-AC-SAF-010 as stated in Chapter 6.3 of this Volume.Placement of the data in the SW Volumes providesthe explosives data to the production, maintenance,storage, and transportation managers, upon whichthey determine the required explosives safety mea-sures for each item.

d. NOSSA Explosives Safety Support Offices(ESSOs). The ESSOs conduct ESIs of shore activitiesin accordance with NOSSAINST 8020.14, and AfloatUnits in accordance with NAVSEA 8023.12.

e. Ordnance Item Program Executive Officer(PEO)/Program Manager (PM). The PEO/PM is re-sponsible for determining the hazard class/division ofthe item along with the other explosive characteristicsnot later than as part of the cataloging proceduredescribed in Chapter 6.3 of this volume.

f. Field Activities and Contractor Facilities.Each ordnance activity/facility shall have an Explo-sives Safety Officer, designated in writing, reportingdirectly to the Commanding Officer/Director. Ord-nance activities and facilities are directly responsiblefor the safety of all ordnance in their custody and forthe safety of all personnel, equipment, and facilitiesinside and outside the gate during the presence ofordnance at their activity or facility.

7.1.1.5 Organizational Relationships. The organiza-tional relationships of the commands involved inexplosives safety management are depicted in Fig-ure 7-1-1.

7.1.2 Joint Hazard Classification System (JHCS).

7.1.2.1 General. NAVSEAINST 8020.08 is the Joint-Service instruction for the Navy Explosives HazardClassification Program, outlining program responsibili-ties and the interim and final hazard classificationprocesses. Since 1992 the JHCS has been the authori-tative source, within DoD, for hazard classification ofnon-nuclear ordnance. The publication of the JHCSprovides a single-source authoritative document forhazard classification data which takes precedence overconflicting information found elsewhere.

7.1.2.2 Description. The JHCS provides a means forensuring the proper assignment of a Hazard ClassDivision (HC/D) code, a storage compatibility group,and accurate explosive weights for calculating ap-propriate separation distances. The assignment of thesecodes and explosive weights occurs before or as partof the cataloging process for new ordnance items. Thedata necessary for hazard classification is specified inthe PM’s checklist. The assignment of these codes andexplosive weights can be based on either test resultson the specific item being introduced, or on testresults of other like items which already are or havebeen in the active inventory. Any changes to the itemor packaging configuration requires that these codesand explosive weights be reviewed for requiredchanges.

7.1.2.3 Responsibilities:

a. The U.S. Army, Defense Ammunition Center(DAC), located at McAlester, OK, is responsible formaintaining the database which contains the DoDJHCS data.

b. Each Military Department has a Hazard Clas-sifier. The Hazard Classifier for DoN (Navy and Ma-rine Corps Ordnance) is located in the NOSSA.

7.1.2.4 Hazard Classification Process.

a. NAVSEAINST 8020.08 (series) provides thetests and tri-Service coordination process for hazardclassification within DoD. The objective is to be incompliance with Federal Regulations for the safetransport of hazardous materials as published inTitle 49, Code of Federal Regulations and SW020-AC-SAF-010; and to be in compliance with Navy require-ments for the safe storage of ordnance as published inNAVSEA OP 5. Both Title 49, Code of Federal Regula-tions and SW020-AC-SAF-010 make provisions for in-terim hazard classification during item development andfor final hazard classification once the item configura-tion and packaging is finalized.



7-1-3

ApprovalFor Navy Use

Tasking and Funding =

Coordination =

Management Support

Publication Support

Inspections Support

HazardClassification

“EX” NumberAssignment

DDESB

Military ServicesExplosives Safety

Council

JOCGOrdnance Safety

Subgroup

JOCGEMI/HEROSubgroup

DOT

SDDC

NavyHazard Classifier

NOSSA

Other ServiceHazard

Classifiers

ActivitySecurityDirector

ProductionMaintenance

StorageHandlingDisposal

ResourceSponsor

CNO (N4)

NOSSA

WSESRB

Technical Center ForExplosives Safety

NSWCDIV IH

NOSSAESSOPAC

NOSSAESSOLANT

NSWCDIV IH DETACHMENT EARL, NJ

PHS&T Department

PEO

PM

Figure 7-1-1. Explosives Safety Management Organizational Relationships



7-1-4

b. Interim Hazard Classification. An interimhazard classification is normally used during the de-velopment cycle of an ordnance item to permit ship-ment; however, it can be used in other situations. It isassigned by the appropriate Hazard Classifier, andmust be requested in writing and support by test data.A copy of the interim hazard classification must ac-company any shipments of the item over public road-ways.

c. Final Hazard Classification. Once the PEO/PM submits the cataloging request form to Naval Op-erational Logistics Support Center (NOLSC-AMMO)and the hazard classification data to the Hazard Clas-sifier, the process to obtain a final hazard classifica-tion begins. The Hazard Classifier will review thedata and assign a hazard classification, UN number,proper shipping name, and storage Net ExplosiveWeight (NEW). This information will be forwarded toDAC (Army Hazard Classifier), the Air Force SafetyAgency (Air Force Hazard Classifier), and DDESBfor approval. When approved, the information is for-warded to the Department of Transportation (DOT),via the Military Surface Deployment and DistributionCommand (SDDC) http://www.sddc.army.mil (formal-ly Military Traffic Management Command (MTMC))for assignment of an EX registration number. DOTforwards a copy of the letter assigning the EX num-ber to DAC who enters the item into the JHCS data-base. The JHCS database only contains ordnanceitems which have received final hazard classification.DAC fowards the EX numbers to the other ServiceHazard Classifiers. The Navy Hazard Classifier entersthe data into NOLSC-AMMO’s Ordnance InformationSystem-Wholesale (OIS-W). Once the item has beenassigned an EX number, the item can be shipped bycommercial conveyance.

d. All validated explosives safety data (HC/D),NEW, EX number, etc.) is then available in the FLIScatalog database for other Service users, in the OIS-W catalog database for access by OIS-W users, andin SW0201-AC-SAF-010 publications for all Fleetunit, field activity, and contractor facility users.

7.1.2.5 JHCS Database. The JHCS database is de-signed to allow field activities to easily retrieve thelatest explosive hazard classification data. The systemis managed on behalf of the DDESB by the DAC’sTechnical Center for Explosives Safety (USATCES).Any authorized user with an assigned password canaccess the system using a computer with 486/66 mHzor higher processor with modem or Local AreaNetwork (LAN) connectivity to the World Wide Web

(WWW) and a mouse. Many data screens have beenoptimized for displaying on monitors set at 800 by600 resolution. Their software requirements are Nets-cape or Internet Explorer or equivalent browsersoftware version 4 or higher capable of handling JavaScript programs. To initiate the procedure for becom-ing an authorized user and obtaining a password, logon to https://www3.dac.army.mil/esidb/login/request/and fill out the request for login and authenticationform. The database contains 27 data elements for eachordnance item. The query capabilities of the systemallows you to request information in any of thefollowing formats:

a. List JHCS data by NSN.

b. List JHCS data by DoDIC.

c. List JHCS data by Part/Drawing Number.

d. List JHCS data by Nomenclature.

e. Perform Query Form.

7.1.3 United Nations Organization (UNO) HazardClassification System. DoD uses the UNO classifica-tion system to identify the hazard characteristics ofnon-nuclear ordnance and explosives. These hazardcharacteristics are the focal point around which thesafety standards have been established.

7.1.3.1 UNO Classes. The UNO classification systemcontains nine hazard classes. Class 1 and Class 6,apply to non-nuclear ordnance and explosives. Class 1consists of ordnance and explosives, and blastingagents. Class 6 consists of poisonous substances(Poison B), irritating materials, and disease or infec-tious etiological agents. If the ordnance item to beclassified contains a hazardous material such as: fuel,oxidizer, or compressed gas which presents a greaterhazard in transportation than the Class 1 material, thenthe protocol for the predominant hazard should beused rather than that for Class 1 materials.

7.1.3.2 Class/Divisions. Hazard classes are furtherdivided into divisions that indicate the primary charac-teristics and associated hazards. The UNO Class/Divi-sions are identified and defined in depth in NAVSEAOP 5, Volume 1. The predominant Class/Divisionsused for non-nuclear ordnance are as follows:

a. Class 1 Division 1. Mass detonating.

b. Class 1 Division 2. Non-mass detonating, frag-ment producing.



7-1-5

c. Class 1 Division 3. Mass fire, minor blast orfragment.

d. Class 1 Division 4. Moderate fire, no blast.

e. Class 1 Division 5. Very insensitive sub-stance (with a mass explosion hazard).

f. Class 1 Division 6. Extremely insensitiveitem.

g. Class 6 Division 1. Poisonous materials.

h. Class 6 Division 2. Infectious substances.

7.1.3.3 Storage Compatibility Groups (SCGs). Thefollowing SCGs are based on the UN system and arethe reference for all the storage compatibility chartsused in managing non-nuclear ordnance.

a. Group A. Primary explosive substance. Ex-amples are lead azide, lead styphnate, mercury fulmi-nate, tetracene, dry RDX and dry PETN. Group Amaterials are prohibited aboard combatant ships.

b. Group B. Articles containing a primary ex-plosive substance and not containing two or moreeffective protective features. Some articles, such asdetonators for blasting and primers, cap-type, are in-cluded, even though they do not contain primary ex-plosives. Examples are detonators, blasting caps,small arms primers, and fuzes without two or moresafing features.

c. Group C. Propellant explosive substance orother deflagrating explosive substance or article con-taining such explosive substances. Examples aresingle-, double-, triple-based, and composite propel-lants, rocket motors (solid propellant), and ammuni-tion with inert projectile.

d. Group D. Secondary detonating explosivesubstance or black powder or article containing a sec-ondary detonating explosive substance, in each casewithout means of initiation and without a propellingcharge, or articles containing a primary explosivesubstance and containing two or more effective pro-tective features. Examples are bulk TNT, CompositionB, wet RDX, bombs, projectiles, warheads, or fuzeswith two or more effective protective features.

NOTES

Where sufficient stowage space is avail-able, it is desirable to store bulk high

explosives (HE) separately from am-munition containing HE even thoughthey are both in the same capabilitygroup.

e. Group E. Articles containing a secondary det-onating explosive substance, without means of initia-tion, with a propelling charge (other than one con-taining flammable liquid or hypergolic liquid).Examples are artillery ammunition, rockets, or guidedmissiles.

f. Group F. Articles containing a secondary det-onating explosive substance with its own means ofinitiation, with a propelling charge (other than onecontaining flammable liquid or hypergolic liquid) orwithout a propelling charge. Examples is a grenade.

g. Group G. Pyrotechnic substances or articlescontaining a pyrotechnic substance, or articles con-taining both an explosive substance and an illuminat-ing, incendiary, tear-producing, or smoke producingsubstance (other than a water-activated article or onecontaining white phosphorus (WP), phosphide orflammable liquid or gel or hypergolic liquid). Exam-ples are flares, signals, incendiary or illuminating am-munition, and other smoke or tear producing devices.

NOTES

Some compatability Group G articlesmay contain air activated (pyrophoric)material. These articles are assigned a“G” only if they are designed such thatthe pyrophoric properties in the storageand transportation configuration do notpresent a special risk.

h. Group H. Articles containing both an explo-sive substance and white phosphorus (WP).

i. Group J. Articles containing both an explosivesubstance and flammable liquid or gel. Examples areliquid or gel filled incendiary ammunition, Fuel-AirExplosive (FAE) device, and flammable liquid fueledmissiles.

j. Group K. Articles containing both an explo-sive substance and a toxic chemical agent. Articles inthis group contain chemicals specifically designatedfor incapacitating effects more severe than lachryrma-tion. Examples are artillery or mortar ammunition,fuzed or unfuzed, grenades, rockets or bombs filledwith a lethal or incapacitating chemical agent.

k. Group L. Explosive substance or articles con-taining an explosive substance and presenting a spe-



7-1-6

cial risk needing isolation of each type. Examples areprepackaged hypergolic liquid-fueled rocket engines,TPA (Plasticized Triethylaluminum) (thickened TEA(Triethlylaluminum)), and damaged or suspect ord-nance of any group.

l. Group N. Articles containing only ExtremelyInsensitive-Detonating Substances (EIDS). Examplesare bombs and warheads.

m. Group S. Substances or articles so packed ordesigned that any hazardous effects arising from acci-dental functioning are confined within the package.That is unless the package has been degraded by fire,in which case all blast or projection effects are limit-ed to the extent that they do no significantly hinderor prohibit firefighting or other emergency responseefforts in the immediate vicinity of the package. Ex-amples are explosive switches or values.

7.1.4 Acquisition Explosives Safety.

7.1.4.1 Research. Explosives safety begins in theresearch environment during item development. NAV-SEA OP 5, Volume 1, covers the explosives safetyregulations as they pertain to Research, Development,Test and Evaluation (RDT&E) activities.

7.1.4.2 Weapon System Explosives Safety ReviewBoard. The WSESRB is designated by the CNO toreview safety aspects of non-nuclear ordnance and tomake recommendations to the responsible Naval Com-mand or PEO/PM. All newly introduced Navy ord-nance items will be reviewed by the WSESRB toassure that safety requirements are met. No ordnanceacquisition program, will proceed to Approval for FullProduction (AFP) without WSESRB safety approval orcertification as stated in NAVSEAINST 8020.06.

7.1.4.3 Production. Production explosives safety is-sues are specifically addressed in NAVSEA OP 5Volume 1, Chapter 9. This includes SOPs used inproduction operations which are regulated by NOSSAInstruction 8023.11. The NAVSEA instruction definesthe processes requiring an SOP and the generalcontents and outline of an acceptable SOP.

7.1.5 Maintenance Explosives Safety. Maintenanceexplosives safety issues are the same as for produc-tion. The regulations identified in subparagraph 7.1.4.3also apply specifically to maintenance processes.

7.1.6 Explosives Safety Ashore.

7.1.6.1 Regulation. The safe research, development,production, maintenance, care, handling, storage, use,

and disposal of non-nuclear ordnance items at Navyand Marine Corps shore activities, regardless ofordnance and explosives ownership, is under thecognizance of NOSSA as delegated by NAVSEASYS-COM. Ordnance processes shall conform to theregulations stated in NAVSEA OP 5, Volume 1, aswell as the safety standards promulgated by the DONand applicable federal, state, and local regulations thatare not in conflict with those of COMNAVSEASYS-COM. NAVSEA OP 5, Volume 1, organizes the ord-nance and explosives regulations into three subsec-tions: general regulations, specific regulations, andinspection and surveillance policies.

7.1.6.2 Storage Compatibility. Different types ofordnance stored in magazines ashore can only bestored in the same magazine if authorized by thestorage compatibility chart contained in SW020-AC-SAF-010 reproduced in Figure 7-1-2.

7.1.7 Explosives Safety Afloat.

7.1.7.1 Regulation. The detailed specifications andblueprints for construction of Navy ships designate theonly authorized ordnance and explosives spaces ormagazines for each ship type and class. The explosivessafety requirements for non-nuclear ordnance aboardall Navy ships is found in NAVSEA OP 4. TheCommanding Officer of a commissioned Navy ship orother craft that is at a pier or wharf that forms part ofa Naval shore activity or is in waters adjacent to aNaval shore activity as defined by local regulationshas direct responsibility for compliance with all shipand station safety regulations that concern ordnanceand explosives within the ship in conformance withorders of the Commanding Officer of the Naval shoreactivity concerned. The Quantity-Distance standardscontained in NAVSEA OP 5, Volume 1, for piers,wharfs, and anchorage facilities apply to ships withcargo ordnance stowed aboard, and to all ships duringloading, offloading, stowage, or shifting of ordnance.Navy combatant ships and tenders must comply withthe standards set forth in OPNAVINST 8020.14 whileberthed at U.S. Naval Stations and similar supportactivities.

7.1.7.2 Stowage Compatibility. Ordnance can only bestowed together in the same magazine if authorized bythe appropriate stowage compatibility chart containedin NAVSEA OP 4. The Stowage Compatibility Chartfor Combatant Ships is reproduced in Figure 7-1-3.Detailed compatibility charts for stowage of ordnanceaboard other types of naval vessels are also containedin NAVSEA OP 4. Stowage compatibility of military



7-1-7

ordnance aboard commercial vessels shall be asdescribed in 49 CFR 176.83(c) and (f).

7.1.8 Explosives Safety Ashore, Advanced Bases.

7.1.8.1 Regulation. The explosives safety require-ments for designated overseas ordnance activities isfound in NAVSEA OP 5, Volume 3. In addition to thethese requirements, overseas activities must also com-ply with all host country regulations which are morerestrictive than the requirements in NAVSEA OP 5, Volume 3.

7.1.8.2 Storage Compatibility. Ordnance stored inmagazines ashore overseas at advanced bases can onlybe stored together in the same magazine if authorizedby the appropriate storage compatibility chart con-tained in NAVSEA OP 5, Volume 3, which isreproduced in Figure 7.1.4.

7.1.9 Transportation Explosives Safety.

7.1.9.1 Regulations. Safety regulations and require-mennts for shore station operations involving inspec-tion, loading, unloading, and on station transporationof non-nuclear ordnance and explosives are found inNAVSEA OP 5, Volume 1. Requirements for in-transitshipments of ordnance and explosives are found inPublic Law, DOT regulations, NAVSEA SW020-AC-SAF-010, and Military Sealift Command (MSC) regu-lations.

7.1.9.2 Transportation Compatibility. Ordnance canonly be stored together in the same transport vehicle ifauthorized by the storage compatibility chart containedin SW020-AC-SAF-010 which is reproduced in Figure7.1.5.



7-1-8

Groups A B C D E F G H J K L N S

A X Z

B Z X Z Z Z Z Z Z X

C Z X X X Z Z Z X

D Z X X X Z Z Z X

E Z X X X Z Z Z X

F Z Z Z Z X Z Z X

G Z Z Z Z Z X Z X

H X X

J X X

K Z

L

N Z Z Z Z Z Z X X

S X X X X X X X X X X

NOTES:

1. The marking “X” at an intersection of the above chart indicates that these groups may be combined in storage. Otherwise, mixing iseither prohibited or restricted per Note 2 below.

2. The marking “Z” at an intersection of the above chart indicates that, when warranted by operational considerations or magazinenonavailability, and when safety is not sacrificed, logical mixed storage of limited quantities of some items of different groups may beapproved by NOSSA. Approval is not to be considered a waiver. Combinations that violate the principles of paragraph 2.2.4 requirejustification by waiver or exemption. Examples of acceptable combinations of Class 1 are:

a. Division 1, Group A initiating explosives with Division 1, Group B fuzes not containing two or more independent safety features.

b. Division 3, Group C bulk propellants or bagged propelling charges with Division 3, Group G pyrotechnics without their own meansof initiation.

3. Equal numbers of separately packaged components of complete rounds of any single type of ammunition may be stored together. Whenso stored, compatibility is that of the assembled round; i.e., WP filler in Group H, HE filler in Groups D, E, or F, as appropriate.

4. Ammunition designated “practice” by NSN and nomenclature may be stored with the fully loaded ammunition it simulates.

5. Mixing of compatibility groups (except items in Groups A, K, L and N) in limited quantities is authorized by NAVORDSAFECACT.Such mixed storage is not to exceed a total of 1,000 pounds NEW and will be considered as the highest hazard division included.

6. Group K requires not only separate storage from other groups, but may also require separate storage within the group.NAVORDSAFECACT shall determine which items in Group K may be stored together and those which must be stored separately.

7. Ammunition items without explosives which contain substances properly belonging to another hazard class may be assigned to the samecompatibility group as items containing explosives and the same substance, and be stored with them.

8. For purposes of mixing, all items must be packaged in approved storage containers. Items shall not be unpackaged at storage locations.

9. Articles of compatibility Group B and F shall each be segregated in storage from articles of other compatibility groups by means whichare effective in the prevention of propagation to those articles.

10. When ammunition or ammunition components are assigned to hazard classes 2 through 9, they may be stored in accordance with thecompatibility group assigned. Quantity-distance requirements are in accordance with the item being stored.

11. If dissimilar hazard Class/Division 1.6, Group N munitions, such as Mk 82 and Mk 84 GP Bombs, are mixed together and have notbeen tested to assure non-propagation, the mixed munitions are to be considered hazard Class/Division 1.2, Group D for purposes oftransportation and storage.

Figure 7-1-2. Storage Compatibility Chart Ashore



7-1-9


A 1

B X X

C X X X 6 5 X X

D X X X 6 5 X X

E X X X 6 5 X X

F X X

G 6 6 6 6 6 X

H X X

J 5 5 5 X 4 5 X

K X

L 4 X

N X X X 6 5 X X


NOTES: (An “X” indicates permissible stowage. A number refers to a numbered note restricting stowage. A blank space indicates prohibitedstowage.)

1. Compatibility Group A is prohibited aboard combatant ships.

2. Hazard Class/Division 1.4 items of any Compatibility Group or combination or Compatibility Groups may be stowed in any magazine spacesexcept those primarily designated for Compatibility Groups K or L. For example, 1.4C and 1.4D items may be stowed in a Compatibility GroupH space. This note applies to all permissible combinations of the compatibility chart.

3. Items assigned to Hazard Classes 2 through 9 for transportation purposes and a Storage Compatibility Group for storage purposes may bestowed as Hazard Class/Division 1.4. For example, an item assigned a classification of 9S may be stowed as 1.4S and Note 2 applies. Thisnote applies to all permissible combinations of the compatibility chart.

4. FAE weapons and Target Drone AQM-37A are compatible in stowage. FAE weapons require less stringent certified fuel facilities, and canbe stowed in hypergolic magazines, but hypergolic fueled items cannot be stowed in magazines certified for FAE weapons only. FAE weaponsand Target Drone AQM-37A must be stowed in a certified magazine in accordance with NAVSEA S9000-AB-GTP-010.

5. Compatibility Group J missile systems or rocket motors only. Compatibility Group J drones, incendiaries, napalm and FAE weapons areprohibited except as provided for in Note 4.

6. Commercial Fireworks are forbidden aboard naval vessels. Thermite (TH) ammunition shall be stowed in topside jettisonable lockers or otherready service locker overhanging the ship where direct burn-through will impact the water. When these lockers are not available, AW ships maystow thermite filled ammunition in the lowest magazine provided they are stowed in their original shipping containers in a separate stack orstowed on the bottom of a stack of other ammunition.

7. Chemical ammunition in different stowage compatibility groups shall be stowed in separate CW magazines. This note applies to allpermissible combinations of the compatibility chart.

Figure 7-1-3. Stowage Compatibility Chart for Combatant Ships



7-1-10


A X X

B X X X X X X X X

C X X X X X X X X

D X X X X X X X X

E X X X X X X X X

F X X X X X X X

G X X X X X X X

H X X

J X X

K X

L

N X X X X X


NOTE:

Where intersections are marked with an “X”, items are compatible and may be stored together.

Figure 7-1-4. Storage Compatibility for Advanced Bases



7-1-11


A X X X X X X X X X X X X

B X X X X X X X X X X X 4/5

C X X X X X X X X X X 3 4/5

D X 4 2 2 X X X X X X 3 4/5

E X X 2 2 X X X X X X 3 4/5

F X X X X X X X X X X X 4/5

G X X X X X X X X X X X 4/5

H X X X X X X X X X X X 4/5

J X X X X X X X X X X X 4/5

K X X X X X X X X X X X 4/5

L X X X X X X X X X X 1 X X

N X X 3 3 3 X X X X X X 4/5

S X 4/5 4/5 4/5 4/5 4/5 4/5 4/5 4/5 4/5 X 4/5

NOTES:

1. A blank space in the Table indicates that no restrictions apply.

2. The letter “X” in the Table indicates that explosives of different compatibility groups may not be carried on the same transport vehicle.

3. The numbers in the Table mean the following:

4. “1” means an explosive from Compatibility Group L shall only be carried on the same transport vehicle with an identical explosive.

5. “2” means any combination of explosives Compatibility Groups C, D, or E is assigned to Compatibility Group E.

6. “3” means any combination of explosives from Compatibility Groups C, D or E with those in Compatibility Group N is assigned toCompatibility Group D.

7. “4” means CRF Title 49 chapter 177.835(g) applies when transporting detonators.

8. “5” means Division 1.4S fireworks may not be loaded on the same transport vehicle with Division 1.1 or 1.2 (Class A explosive)materials.

9. Except as provided in Note 4 of this figure, explosives of the same Compatibility Group but different Divisions may be transportedtogether provided that the whole shipment is transported as though its entire contents were of the lower numerical Division (i.e. Division 1.1being lower than Division 1.2). For example, a mixed shipment of Division 1.2 (Class A explosive) materials and Division 1.4 (Class Cexplosive) materials, both of Compatibility Group D, must be transported as Division 1.2 (Class A explosive) materials.

10. When Division 1.5 (blasting agent) materials, Compatibility Group D, are transported in the same freight container as Division 1.2 (ClassA explosive) materials, Compatibility Group D, the shipment must be transported as Division 1.1 (Class A explosive) materials, CompatibilityGroup D.

Figure 7-1-5. Transportation Compatibility Table for Class 1 Explosive Materials



7-2-i

CHAPTER 7.2

Physical Security Management

Table of Contents


7.2.1 Physical Security Management 7-2-1

7.2.2 Defense Transportation Tracking System (DTTS) 7-2-3


Figure Title Page

7-2-1 Physical Security Management Organizational Relationships 7-2-2

7-2-2 Security Risk Codes (SRC’s) 7-2-4



7-2-1

CHAPTER 7.2

Physical Security Management

7.2.1 General.

7.2.1.1 Standards. Standards and criteria have beenestablished for the physical security of Department ofDefense (DoD) sensitive conventional Arms, Ammuni-tion and Explosives (AA&E). These standards andcriteria are intended to protect against loss or theft ofAA&E at DoD activities and DoD contractor facilities.They apply to non-nuclear ordnance items duringproduction, maintenance, storage, and transportation.Specific guidance on the physical security of AA&E isfound in OPNAVINST 5530.13.

7.2.1.2 Perspective. The primary focus of physicalsecurity management is to minimize the risk ofordnance technology compromise, intentional damage,and theft. Even though there are personnel specificallyassigned to physical security management positions atall echelon levels, everyone working with or aroundordnance should consider themselves responsible forphysical security, and identifying and minimizing risk.

7.2.1.3 Organizational Relationships. The organiza-tional relationships of the commands whose majorfunction is physical security management are depictedin Figure 7-2-1.

7.2.1.4 Responsibilities.

a. The CNO exercises general supervision andcommand authority for the AA&E physical securityprogram in the Navy. Within OPNAV, the SpecialAssistant for Naval Investigative Matters and Securityis responsible for supervising Navy physical securitymatters, and coordinates physical security policy, pro-grams, and guidance which effect Navy and MarineCorps forces mutually with the Commadant of theMarine Corps (CMC).

b. Naval Ordnance Safety and Security Activity(NOSSA) is the principal authority for the Navy’sAA&E physical security and ordnance transportationsecurity programs and is tasked by the Chief of NavalOperations (CNO) to perform the following:

(1) Evaluate the Navy AA&E physical securi-ty posture and develop cost effective upgrades.

(2) Budget and program for all AA&E physi-cal security program funding, except for electronicsecurity systems, and provide CNO with Navy-wideresource requirements and related 6-year plans.

(3) Centrally manage, analyze, and maintainNavy statistical data on AA&E physical securitymatters and monitor AA&E physical security programobjectives to ensure compliance with policies andstandards.

(4) Manage the Navy AA&E security waiversand exceptions process.

(5) Implement Navy policy and guidance forthe Ordnance Inventory Accuracy Management Pro-gram.

c. NSWCDIV Crane, the Navy’s AA&E PhysicalSecurity Program Manager provides program supportincluding the following:

(1) Issue, repair, and replace cylinders, locks,and keys for high and medium security locks.

(2) On behalf of NOSSA, reviews all AA&Ephysical security waivers & exceptions.

d. Naval Facilities Engineering Services Center(NFESC), is the DoD Technical Manager for lock,safe, vault, seal, and container programs, and pro-vides program support in these areas.

e. Explosives Safety Support Offices (ESSOs).The ESSOs include physical security issues in theirexplosives safety program inspections of shore activi-ties and afloat units in support of NOSSA.

f. The ordnance item PEO/PM is responsiblefor determining the security risk category of the spe-cific item as part of the cataloging procedure de-scribed in Chapter 6.3 of this volume. The securityrisk category is assigned in accordance with proce-dures found in DoD 5100.76M. This is accomplishedby using a Decision Logic Table that results in a givenitem amassing a numerical value which relates to arisk catagory code.



7-2-2


ActivitySecurityDirector



ResourceSponsor

CNO (N09N1)

DTTS Management Support

Inspections Support

Hardware Technical Management

WSESRB

PEO

PM

NFESCPort Hueneme, CA

NSWCDIV Crane

U.S. Army Surface Deployment andDistribution Command (SDDC)

NOSSAESSOPAC

NOSSAESSOLANT

NOSSA

Engineering / Hardware Support

Figure 7-2-1. Physical Security Management Organizational Relationships



7-2-3

g. PHS&T Department, NSWCDIV Indian HeadDetachment Earle, NJ. The PHS&T Department isresponsible for placing the item security code, alongwith the other item catalog data, into the SW020-AC-SAF-010/020/030 as stated in Chapter 6.3 of this vol-ume.

h. Field Activities and Contractor Facilities.

(1) Assign an AA&E Security Officer inwriting, reporting directly to the Commandng Officer/Director.

(2) Responsible for the security of all ord-nance in their custody.

(3) Appoint in writing a key and lock custo-dian, whose duties include assuring proper custody andhandling of AA&E keys and locks.

(4) Ensure an AA&E security survey isconducted at least every 12 months, and maintainrecords of the three most recent surveys for externalreview.

(5) Ensure submission of a special incidentreport in accordance with NAVSUP Pub P-724,Chapter 6, Section 2 and OPNAVINST 5530.13,Chapter 7, for reportable AA&E stolen, lost, unac-counted for, or recovered; this includes gains or lossesdue to inventory adjustments.

7.2.2 Defense Transportation Tracking System(DTTS).

7.2.2.1 United States Transportation Command (US-TRANSCOM) http://www.transcom.mil/ and it’s subor-dinate command, Military Surface Deployment andDistribution Command (SDDC) http://www.sddc.ar-my.mil are responsible for DTTS management andmaintenance.

7.2.2.2 Purpose. The primary mission of DTTS isintransit ordnance safety and security. The secondary

mission is supporting the DoD In-Transit Visibility(ITV) initiative by forwarding its complete ordnancemovement and positioning database to USTRANS-COM Global Transportation Network (GTN) on anhourly basis.

7.2.2.3 System Description. DTTS uses satellite posi-tioning and communication technology, digitalizedmapping and 24-hour oversight to micromanage allDoD movements of sensitive conventional AA&Etransported within the Continental United States(CONUS) by specially approved commercial motorcarriers.

a. Method of Access to DTTS. There are twomethods for accessing DTTS data: password protecteddirect dial-up, USTRANSCOM GTN and SMS andSDDC’s Intelligent Road & Rail Information Server(IRRIS). IRRIS is available at https://www.irris.tea.ar-my.mil. A userid and password are required for access.

b. DTTS System Customers and Users. DTTSservices a wide variety of customers, including DoDordnance shipping activities, many commercialAA&E manufacturing/maintenance contractors, FleetCommanders (FLTCOMs), Type Commanders (TY-COMs) and various ordnance logistics and transporta-tion command elements.

7.2.2.4 Capabilities. DTTS offers a variety of ord-nance movement information on two different levels ofaccess, ordnance shipping/receiving activities, andDoD management elements. Movement informationincludes such level of detail as Security Risk Category,Hazard Class/Division, and Net Explosive Weight(NEW). Ordnance shipping and receiving activities canobtain details on ordnance shipments or receipts.Management activities such as Naval OperationalLogistics Support Center (NOLSC-AMMO), USTRANS-COM, the U.S. Army’s Joint Munitions Center (JMC),and Headquarters U.S. Air Force and Authorized userscan obtain broad reports involving total movements.



7-2-4

SRC DEFINITIONS

1 HIGHEST SENSITIVITY (CATEGORY I). Non-nuclear missiles and rockets in a ready-to-fireconfiguration (e.g., HAMLET, REDEYE, STINGER, DRAGON, LAW, VIPER) and explosive roundsfor non-nuclear missile and rockets. This category also applies in situations where the launcher (tube)and the explosive rounds, though not in a ready-to-fire configuration, are jointly stored ortransported.

2 HIGH SENSITIVITY (CATEGORY II). Arms, Ammunition, and Explosives.

3 MODERATE SENSITIVITY (CATEGORY III). Arms, Ammunition, and Explosives.

4 LOW SENSITIVITY (CATEGORY IV). Arms, Ammunition, and Explosives.

5 HIGHEST SENSITIVITY (CATEGORY I). Arms, Ammunition, and Explosives with a physicalsecurity classification of SECRET (see Note 1).

6 HIGHEST SENSITIVITY (CATEGORY I). Arms, Ammunition, and Explosives with a physical securityclassification of CONFIDENTIAL (see Note 1).

7 UNCONTROLLED/UNCLASSIFIED. Items coded “7”, UNCONTROLLED/UNCLASSIFIED, requirenormal storage accountability, physical inventory controls as is appropriate for any Department of the Navyproperty and demilitarization prior to disposal.

8 HIGH SENSITIVITY (CATEGORY II). Arms, Ammunition, and Explosives with a physical security classifi-cation of CONFIDENTIAL (see Note 1).

S SECRET. Items coded “S”, SECRET, will be shipped as required by DoD Directive 5200.1R which is incorpo-rated in OPNAVINST 5510.1. All other security protection during the life cycle shall be in accordance withthe standards specified for Category II items.

C CONFIDENTIAL. Items coded “C”, CONFIDENTIAL, will be shipped and protected during the life cyclethe same as for Category III items. An exception is the REDEYE man portable missile system which shall beshipped and protected as a Category I item.

U UNCONTROLLED/UNCLASSIFIED. Items coded “U”, Uncontrolled/Unclassified, require normal storageaccountability and physical inventory controls as is appropriate for any Department of the Navy property.

P PILFERABLE. Items coded “P”, Pilferable, Include ammunition and explosives that are easily concealed, es-pecially subject to theft, and desirable for personal use or sale for profit.

ÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁÁ

NOTE: 1. Items coded 5, 6, or 8 will be stored and transported in accordance with the provisions of DoD 5100.76M or DoD 5200.1R,

“Information Security Program”, whichever is more stringent.

Figure 7-2-2. Security Risk Codes (SRCs)



7-3-i

CHAPTER 7.3

Transportation Management

Table of Contents


7.3.1 General 7-3-1

7.3.2 Requirements 7-3-2


Figure Title Page

7-3-1 Transportation Management Organizational Relationships 7-3-3



7-3-1

CHAPTER 7.3

Transportation Management

7.3.1 General.

7.3.1.1 Background. The transportation of Arms,Ammunition and Explosives (AA&E) and other non-nuclear ordnance is a complex function. The NavalOrdnance Safety and Security Activity (NOSSA) inconjunction with the Naval Operational LogisticsSupport Center (NOLSC-AMMO) develops and imple-ments policy and procedures for the shipment ofammunition. Challenges are provided by the widearray of commodities involved and the cross-serviceorganizational relationships that require internal andexternal coordination of the transportation logisticsprocess.

7.3.1.2 Policy.

a. NAVSUP P-724, Chapter 7, describes thegeneral policies, procedures, and responsibilities forperformance of traffic management functions at De-partment of Defense (DoD) activities worldwide.

b. In accordance with specific direction pro-vided by the Naval Operational Logistics SupportCenter (NOLSC) Norfolk, VA, all non-nuclear ord-nance is shipped by surface lift (regardless of theRequired Delivery Date (RDD) or priority) unless theFleet Commander Approves airlift or unless premiumservice results in lower overall cost.

c. Navy Munitions Rule Implementation Policy(MRIP) CNO Memo Ser N457F/452 of 27 July 1998provides guidance for the safe storage and transporta-tion of military munitions once they become hazard-ous waste.

d. All ammunition requisitions, including re-lated Military Standard Requisitioning and Issue Pro-cedures (MILSTRIP) documents such as modifica-tions, cancellations, rejections, etc. will be enteredinto the NOLSC-AMMO Ordnance Information Sys-tem-Wholesale (OIS-W).


a. The CNO exercises general supervision andcommand authority for the application of technical

guidance prepared by the Commander, Naval SupplySystems Command (NAVSUP), the Commander,NOLSC-AMMO and the Commanding Officer NOS-SA. Within OPNAV the Deputy Chief of Naval Op-erations for Logistics (N4) is responsible for super-vising Navy ordnance transportation matters, andcoordinates ordnance transportation policy, programsand guidance which effects Navy and Marine Corpsforces mutually with the Commandant of the MarineCorps (CMC).

b. NOSSA.

(1) Serves as the naval ordnance transporta-tion authority for policy, internal and external inter-faces and macro transportation issues. Interprets broadtransportation management and safety security laws,rules and regulations of the Department of Defense(DoD), Secretary of Navy (SECNAV), Department ofTransportation (DoT) and other Federal regulatoryagencies.

(2) Develops Naval non-nuclear ordnancetransportation policies and procedures that provides forthe safe handling and transport of ammunition explo-sives and related hazardous materials.

c. NOLSC-AMMO.

(1) Serves as the Department of the navysingle point of contact for coordination with the JointMunitions Transportation Coordination Agency(JMTCA) for the Single Manager for ConventionalAmmunition (SMCA) and non-SMCA common userammunition movement requirements, other than ClassV(W) 0T Cog Marine Corps ground ammunition.

(2) Serves as the Navy logistics office re-sponsible for coordinating, controlling and monitoringthe movement of all overseas shipments of non-nuclearordnance under the cognizance of the NOLSC-AMMOand SMCA. The same responsibility also pertains tothe coordination of 2D Cog material within theContinental United States (CONUS).

d. United States Transportation Command (US-TRANSCOM): USTRANSCOM, as the DoD singlemanager for sea, land and air transportation, controls



7-3-2

all DoD transportation assets except those that areservice unique or theater assigned.

e. Military Surface Deployment and DistributionCommand (SDDC): is the second echelon componentof USTRANSCOM designated as the DoD singlemanager for military traffic, land transportation, inter-modal containers and common user ocean terminals,is responsible for the performance of traffic manage-ment function within CONUS. It functions as thejoint service liaison between the DoT, commercialindustry and other joint service organizations. Its mis-sion is to provide responsive, flexible support in ser-vice organizations. Its mission is to provide respon-sive, flexible support in peace and war to operatingforces of the U.S. Army, Navy, Air Force, CoastGuard and Marine Corps.

f. SDDC Operations Center: serves as thesingle USTRANSCOM focal point for the executionof surface inter-modal movements within the DefenseTransportation System (DTS). Their responsibilitiesinclude procuring and booking surface inter-modalshipping schedules and the Integrated Booking Sys-tem (IBS), negotiating ocean and inter-modal ratesand related services to meet transportation require-ments and manage the Defense Freight Railway Inter-change Fleet (DFRIF) which supplements the capabil-ity of commercial transportation carriers.

g. Military Sealift Command (MSC): is a sec-ond echelon command and component of USTRANS-COM with primary responsibility for providing sealiftservice worldwide. MSC coordinates closely with theshipping services (Army, Navy, Air Force and MarineCorps) and with the other single manager transporta-tion components, SDDC and the Air Mobility Com-mand (AMC).

h. Fleet Commands, NOLSC, AMMOLANT/AMMOPAC, CMC CCG, Overseas Stations and FleetUnits:

(1) Review requirements and submit requisi-tions in a timely manner, taking into considerationshort fall of funds available to move materials as wellas the reduced means to move material. Revalidatescurrent material requisitioning procedures against Uni-form Material Movement and Issue Priority System(UMMIPS) standards to ensure proper use of RDD.Cites Transportation Account Code (TAC) with requi-

sition submission if special funds are allocated formovement.

(2) In accordance with specific direction pro-vided by NOLSC Norfolk, VA all non-nuclear ord-nance is to be shipped by surface lift regardless ofRDD or priority unless premium service results in alower cost. If airlift is required, provide justification atthe time of MILSTRIP submission.

(3) NOLSC AMMOLANT/AMMOPAC assistFleet activities in the coordination of retrograde.

7.3.1.4 Organizational Relationships. The relation-ships of the commands/offices whose major function isordnance transportation management are identified inFigure 7-3-1.

7.3.2 Requirements.

7.3.2.1 Explosives Safety. Requirements for explo-sives safety during transportation are found in Chapter7-1 of this volume and NAVSEA SW020-AG-SAF-010.

7.3.2.2 Physical Security. Transportation securitystandards and procedures used in safeguarding catego-rized ordnance and explosives are found in OPNA-VINSTs 5530.13 and 5530.14, and NAVSEASW020-AG-SAF-010. There are standards establishedfor the transportation of ordnance as well as specificconsiderations for small quantity shipments, movementby commercial carriers, and FMS shipments.

7.3.2.3 Transportation Mode Requirements.

a. Motor Vehicles. All ordnance and explosivesshipments, foreign and domestic, will comply withthe UN recommendation. Additional safety require-ments governing shipments within states may be im-posed by the individual states and by municipalitiesthrough which shipments will move. Navy vehiclestransporting ordnance and explosives are subject toall safety regulations applicable to common carriers,as well as to DoN regulations while transporting off-station. Navy owned on-station transportation mustmeet the requirements of NAVSEA SW023-AG-WHM-010. Specific procedures concerning vehicletypes, fuel, cargo space, inspections, operating re-quirements, drivers’ qualifications, explosives com-patibility, parking, etc. are found in NAVSEA OP 5Volume 1 and NAVSEA OP 5, Volume 1, and NAV-SEA SW020-AG-SAF-010.



7-3-3

Secretaryof theArmy

CGAMC

UNIFIEDCombatant

Commanders

President(Commander

in Chief)

Secretaryof

Defense

Secretaryof

Transportation

USTRANSCOM

SMCA

JMTCASDDC MSC

Secretaryof theNavy

NAVSUP NAVSEA

NOLSC NOSSA

NOLSCAMMOPAC

NOLSCAMMOLANT

Reporting

Coordination

Asst SECNAVResearch

DevelopmentAcquisition (RDA)

NOLSCAMMO

NOLSCTRANS

Figure 7-3-1. Transportation Management Organizational Relationships



7-3-4

b. Railroad. DoT and Association of AmericanRailroads Safety Regulations, pertaining to safety de-vices, safety guards, design of equipment, and thelike, are mandatory for carrier owned railway equip-ment used to transport ordnance and explosives onand off Navy and Marine Corps shore activities.Navy owned on-station railcars not used in inter-change or off-station service must meet the require-ments of NAVSEA SW023-AG-WHM-010. Specificrequirements regarding locomotives, signs and sig-nals, railcar marking inspections, railroad operations,and operations at Naval facilities are found in NAV-SEA OP 5, Volume 1.

c. Air Shipments. Regulations and requirementsdescribed in CFR Title 14 and Title 49, published inBureau of Explosives Tariff NO BOE-6000, apply toair shipment by commercial aircraft. Regulations andrequirements for packaging and handling dangerous

materials for transportation by military aircraft arefound in NAVSUP PUB 505. Requirements for cargoand aircraft pre-loading inspection, aircraft loading,marking, electrical grounding, and other matters relat-ing to air shipment of ordnance and explosives arefound in NAVSEA SW020-AG-SAF-010.

d. Water Transportation. The trans-shipment ofordnance and explosives by water in vessels engagedin commercial service is governed by Military SealiftCommand Regulations for Ammunitions and Explo-sives, NAVSEA SW020-AG-SAF-010, and CFR Title 49 Parts 171-179 Hazardous Materials Regulations.The trans-shipment of ordnance and explosives onNavy vessels is governed by the provisions of NAV-SEA OP 4 and NAVSEA OP 5, Volume 1. These reg-ulations and procedures include such items as smallboat use, dunnage, loading regulations, and responsi-bility for safety.



7-4-i

CHAPTER 7.4

Environmental Security Management

Table of Contents


7.4.1 General 7-4-1

7.4.2 Environmental Security Program 7-4-2


Figure Title Page

7-4-1 Environmental Security Management Organizational Relationships 7-4-3



7-4-1

CHAPTER 7.4

Environmental Security Management

7.4.1 General.

7.4.1.1 National Defense and Environmental Protec-tion. The Navy’s ability to accomplish its missionrequires daily operations in the land, sea, and airenvironments. National defense and environmentalprotection are and must continue to be compatiblegoals. In order to accomplish this mission element,personnel must be aware of the environmental lawsand regulations which have been established byFederal, state, and local governments. OPNAVINST5090.1 discusses Federal regulations and DoD require-ments which apply to Navy ships and shore activities.

7.4.1.2 Perspective. The primary focus of environ-mental security management is to minimize the effectof non-nuclear explosive ordnance and their handling(production, maintenance, storage, and disposal) on thesurrounding ecosystems. Even though there are actualpersonnel specifically assigned to environmental secu-rity management positions at all echelons, anyoneworking with or around ordnance should considerthemselves responsible for the environment.


a. The CNO exercises general supervision andcommand authority for the application of Federal en-vironmental regulations. Within OPNAV the DeputyChief of Naval Operations (DCNO) for Logistics(N4) is responsible for supervising Navy environmen-tal security matters, and coordinates environmentalsecurity policy, programs and guidance which effectsNavy and Marine Corps forces mutually with theCommandant of the Marine Corps (CMC). As such,the DCNO (Logistics) shall:

(1) Monitor proposed Federal environmentallegislation, Federal regulations and proposed rules, andcoordinate Navy impact analyses, and ensure articula-tion of Navy positions and concerns in conjunctionwith the Navy Office of Legislative Affairs (OLA) andthe Assistant Secretary of the Navy, Installations andEnvironment (I&E).

(2) Establish and regularly update policy,direct, and monitor progress of the Navy environmen-tal and natural resources program.

(3) Serve as the OPNAV assessment sponsorfor the environmental and natural resources programs,and as the OPNAV resource sponsor for shore activityenvironmental and natural resources protection require-ments.

(4) Coordinate with resource sponsors, NAV-COMPT, DoD, and OMB in the reconciliation ofenvironmental compliance requirements vs. budgetedresources.

b. Naval Ordnance Safety and Security Activity(NOSSA) will provide ordnance environmental secu-rity management coordination.

(1) Provides program management, technical,and administrative support for the Navy, OrdnanceEnvironmental Support Office (OESO) per NAV-SEAINST 5450.117.

(2) Supports the establishment of ordnanceenvironmental directives, and instructions. Serves asthe NAVSEA single point of conduct for ordnanceenvironmental matters.

(3) Participates in NAVSEA Echelon II Envi-ronmental Compliance Evaluations (ECE) by providingordnance environmental expertise.

(4) Provides the Program Manager (PM) forNAVSEA ordnance environmental funding.

c. OESO is responsible to:

(1) Ensure consistent positions, agreements,permit conditions, and responses to regulatory agencieson ordnance environmental issues, coordinating closelywith affected shore activities, major claimants, andother service representatives.

(2) Serve as the primary Navy interface withFederal and State regulatory agencies on ordnanceenvironmental issues.

(3) Coordinate exchange of ordnance environ-mental information among Navy shore activities,including distribution of Federal, state, and local laws,rules, and regulations.



7-4-2

(4) Provide assistance to facilities in dealingwith regulatory agencies on ordnance issues as re-quested.

(5) Provide data and information, technicalreview, and construction and installation environmentalevaluations.

d. NOSSA Explosives Safety Support OfficesAtlantic (ESSOLANT) and Pacific (ESSOPAC) areCategory 2 detachments in active, fully operationalstatus under a Director. Their mission’s are to provideammunition and explosives safety support operationsto Department of the Navy (DoN) units Afloat andAshore, and perform other tasks as assigned by theCommanding Officer, NOSSA. A detailed explanationof functions is found in NAVSEAINST 5450.113 and5450.114.

e. Commanding Officers of shore activitiesshall:

(1) Comply with applicable substantive andprocedural Federal, state, and local environmental lawsand regulations, and continuously strive for improve-ments in all areas of pollution prevention.

(2) Cooperate with Federal, State, and localenvironmental regulatory officials.

(3) Integrate environmental compliance re-quirements into all levels of activity managementthrough the application of program management proce-dures (including oversight, inspection, and identifica-tion) and by requesting sufficient resources to supportenvironmental and natural resources programs.

(4) Apply for all Federal, state, and localpermits, where appropriate, only if you are a Com-manding Officer of a host activity. Coordinate permitconditions with all affected tenant commands. Includeresponsibilities for environmental and natural resourcesprogram, permits, fees and fines, in all host/tenantagreements. In those states or regions where environ-mental regulatory agencies allow tenant commands tosubmit and hold their own environmental permits,Commanding Officers of host commands may delegateauthority to sign and hold permits to CommandingOfficers of tenant commands.

(5) Plan, program, budget, and allocate fundsfor environmental protection costs.

7.4.1.4 Organizational Relationships. The organiza-tional relationships of the commands/offices are de-picted in Figure 7-4-1.

7.4.2 Environmental Security Program. The Envi-ronmental Security Program policies, definitions, andprocedures are in a constant state of flux and differfrom location to location. Any attempt to describethem in any detail would be unrealistic. The followingwill generally describe the program areas that specifi-cally affect ordnance activities. The laws have beentried in court and the message has been very clear thatignorance is not an acceptable defense. The majorimpact of these programs is on ordnance activitiesinvolved in research, production, maintenance, anddisposal. However, those activities solely involved instorage, handling, and use can be greatly impacted bythese laws through one small accident. Not only areNavy activities and units accountable for violations,but individuals within each activity and unit arepersonally accountable as well.

7.4.2.1 Hazardous Materials and Waste Management.The terms “hazardous materials” and “hazardouswaste” have specific legal and scientific definitions inFederal regulations. Hazardous Wastes (HW) aredefined and regulated under the Resource Conservationand Recovery Act (RCRA), Subtitle C, as amended bythe Hazardous and Solid Waste Amendments (HSWA)of 1984. RCRA requires cradle to grave managementof HW through a record keeping system that requiresthe manifesting of HW shipments from the generationpoint to disposal. The Federal Facility Compliance Act(FFCA) of 1992 requires that Federal facilities complywith all provisions of Federal, State, interstate, andlocal hazardous waste laws and regulations. FFCA alsorequires the EPA, in consultation with DoD, to issueregulations on the application of RCRA to militaryordnance. The law allows the EPA and authorizedstates to enforce RCRA regulations at federal facilities.

7.4.2.2 Air Pollution Prevention. The Clean Air Actrequires the EPA to set binding National Air QualityStandards, which define how clean the air must be.The Clean Air Act Amendments of 1990 represent themost recent revisions to the Clean Air Act. Standardshave been set for six primary pollutants: carbonmonoxide, lead, ozone, oxides of nitrogen, sulfur diox-ide, and particulates (PM-10, particulate matter 10microns in size or less). Air quality standards areachieved, maintained, and enforced by the statesthrough State Implementation Plans (SIPs). SIPs speci-fy emission limits and compliance schedules for pollu-



7-4-3


ActivityEnvironmental

Officer

ResourceSponsor

CNO (N4)

Approval For Navy Use

Inspections Support



Inspections Support

DDESB

JOCGOrdnance

EnvironmentalSubgroup

WSESRB

NOSSAESSOPAC

NOSSAESSOLANT

NAVSEASYSCOM

NOSSA

OESO

Figure 7-4-1. Environmental Security Management Organizational Relationships



7-4-4

tion sources and are tailored to the needs of thedifferent air quality control regions. This program is aspecific concern for those ordnance activities involvedin ordnance production, maintenance, and disposalprocesses which produce air pollutant emissions.

7.4.2.3 Wastewater Management. The Federal WaterPollution Control Act was issued to ensure restorationand maintenance of the integrity of the nation’snavigable waters. The act incorporates provisions forregulating both domestic and industrial waste waters.The Clean Water Act (CWA) makes it illegal for anyperson, including Federal facilities, to discharge pollu-tants from a point source into the waters of the U.S.without a permit. The CWA Amendments of 1987require federal agencies to ensure consistency withstate regulations for the control of non-point source ofwater pollution such as runoff from industrial, residen-tial, and agricultural lands. National Pollutant Dis-charge Elimination System (NPDES) permits arerequired for industrial facilities. An important compo-

nent of the NPDES permitting process is the pretour-nament program which sets standards for the controlof waste from indirect discharges; those from industri-al sources of pollution which discharge effluent tomunicipal wastewater treatment facilities rather thandirectly into water bodies. This program is a specificconcern for those ordnance activities involved inordnance production, maintenance, and disposal pro-cesses which discharge pollutants from a point sourceor produce non-point source water pollution.

7.4.2.4 Ocean Dumping. The Marine Protection, Re-search, and Sanctuaries Act bars transport of anymaterial from the U.S. for the purpose of dumpinginto the ocean waters without a permit issued by theEPA, and dumping material from outside the U.S.within the territorial sea or contiguous zone. Oceandumping of ordnance may only be authorized on acase-by-case basis by the CNO. The single exceptionto this rule allows ocean dumping from ships andaircraft in an emergency to safeguard life at sea.



8-i

SECTION 8

Ordnance Demilitarization/Disposal Management

Table of Contents


8.1 Disposal Responsibilities 8-1-1

8.2 Disposal Process 8-2-1



8-1-i

CHAPTER 8.1

Disposal Responsibilities

Table of Contents


8.1.1 General 8-1-1



Figure Title Page

8-1-1 Demilitarization/Disposal Management Organization Relationalships 8-1-3



8-1-1

CHAPTER 8.1

Disposal Responsibilities

8.1.1 General.

8.1.1.1 Policy.

a. DoD 4160.21-M provides policy and proce-dures for the utilization and disposition of excess, sur-plus, and foreign excess property, and specific report-ing requirements for disposable property. It furtherdefines the responsibilities of Defense LogisticsAgency (DLA), Defense Reutilization and MarketingService (DRMS), Defense Reutilization and MarketingRegions (DRMRs) Defense Reutilization and Market-ing Offices (DRMOs), and the Inventory ControlPoints (ICP) in administering and/or accomplishingdisposition of excess and surplus properties with inter-facing organizations.

b. DoD 4160.21-M-1 identifies the items andcategories of property requiring demilitarization, speci-fies their degree of demilitarization, and provides in-structions for their transfer to the DRMO after demili-tarization or declassification. Ordnance and relatedclassified inert items are categories of property notauthorized for transfer to a DRMO prior to demilitar-ization, declassification or inspection and certificationas inert.

c. DoD 5160.65-M details the specific responsi-bilities of the Single Manager for Conventional Am-munition (SMCA) and the Military Services for de-militarization and disposal of ordnance and relatedinert items. It further states that non-nuclear ordnancedemilitarization and disposal will be accomplished inthe most efficient and cost effective manner (usuallyat the generating activity if the capability exists), andmakes the Military Services responsible for all demil-itarization accomplished at their respective activities.

d. OPNAVINST 8026.2 defines the policy, au-thority and responsibility for management of theNavy disposition process for excess, obsolete, unser-viceable, and waste military munitions generated orreceived at Navy activities. The disposition processincludes demilitarization, recycling, declassificationand disposal.

e. NAVSEAINST 8027.02 is a Joint Service in-struction which establishes demilitarization and dis-

posal policies, responsibilities, and procedures relat-ing to requirements governing the concept, research,development, engineering, and release for productionof all new or modified ordnance items and compo-nents. The instruction includes the format and contentrequirements of a Demilitarization plan.

f. NAVSUP P-724 provides the policy and pro-cedures for management of Ammunition, Explosives,and other Dangerous Articles (AEDA), classified in-ert and unclassified inert ammunition items autho-rized for disposal from the active inventory accountto an applicable disposal account.

g. Navy Military Munitions Rule Implementa-tion Policy (MRIP) CNO Memo Ser N457F/452-98 of27 July 1998, provides guidance to ensure compliancewith the Military Munitions Rule (MMR) as well asguidelines for the management of Waste MilitaryMunitions (WMM). In addition the MRIP:

(1) Further defines when military munitionsbecome waste.

(2) Delineates responsibilities and authoritiesof the Designated Disposition Authority.

(3) Dictates a Designated Disposal Activity(DDA) Evaluation process.

(4) Dictates that DoD Components achieveuniformity in logistical accounting of WMM.

(5) Outlines emergency destruct and emergen-cy destruct and emergency response authority.

(6) Codifies storage standards.

8.1.1.2 Perspective. The policies in the directivesabove and environmental laws, have molded theperspective of those involved in disposal managementinto one of removing ordnance items from Navy activeinventory in the most environmentally friendly andcost effective manner. The drive is to consideralternate users of the items; acceptable, alternate usesfor the items, or at least some of its components; orenvironmentally friendly ways of demilitarizing/dispos-ing of all components of the item, with minimaltransportation, as a last resort.



8-1-2

8.1.1.3 Organizational Relationship. Figure 8-1-1 de-picts the organizational relationships of those involvedin disposal management.


8.1.2.1 Acquisition Program Executive Officers(PEO)/Program Managers (PM).

a. The demilitarization process actually beginsat the beginning of the ordnance item’s lifecycle. ThePEO/PM, as part of the process for obtaining Ap-proval for Navy use from the Weapons System Ex-plosives Safety Review Board (WSESRB), is respon-sible for developing and submitt ing a provendemilitarization plan as required by NAVSEAINST8027.2, that will be implemented at any time duringthe projected life span of the item.

b. When ordnance items are presented for de-militarization without a demilitarization plan or whenthe demilitarization plan on file is no longer accept-able, the Demilitarization Program Office contacts theitem’s Acquisition Program Office, if still in exis-tence, to work with them and their engineeringagent(s) to develop a Depot Maintenance Work Re-quirements (DMWR) to specify an acceptable demili-tarization plan. If the appropriate Acquisition Pro-gram Office is no longer in existence, then theDemilitarization Program Office will fund and directthe development of a DMWR to specify an accept-able demilitarization plan for the item(s).

8.1.2.2 Ordnance Demilitarization Program Manager(PM). OPNAVINST 8026.2 defines the demilitarizationprogram and responsibilities for the Navy. NAVSUPP-724 implements the OPNAV instruction. The pro-gram responsibility has been assigned to Commander,Naval Supply System Command which has designatedthe Naval Operational Logistic Support Center(NOLSC-AMMO) to perform functions of worldwidemanagement of demilitarization, recycling, declassifi-cation and disposal of excess, obsolete, unserviceable,and waste military and foreign munitions generated atNavy activities with the exception of large strategicrocket motors. The Demilitarization PM has thefollowing responsibilities:

a. Develop, issue, and implement policies andprocedures for the worldwide management and opera-tions of the Navy munitions demilitarization, recycl-ing, declassification and disposal program.

b. Developing and submitting Navy worldwideDemilitarization Program Objective Memorandum(POM) and budget to manage and process excess,obsolete, unserviceable and waste military munitionsat Navy activities.

c. Review demilitarization and disposal plansdeveloped as part of the integrated logistics supportplans for new, converted or modified Navy munitions.Development and approval of demilitarization planswill be accomplished prior to Operational Test andEvaluation (OT&E) of all new, converted or modifiedmunitions items.

d. Maintaining a close liaison with SMCA re-garding demilitarization and disposal issues.

e. Establish Special Defense Property DisposalAccounts (SDPDAs) at selected Navy activities andidentifying satellite generating activities for account-ability, control and management of Navy excess, ob-solete, unserviceable, and waste military munitionsgenerated or received at Navy activities worldwide.

f. Maintain a centralized inventory managementsystem for Navy munitions demilitarization, recycl-ing, declassification and disposal actions. This systemshall provide complete asset visibility with a transac-tion audit trail to ensure proper accountability, man-agement and control.

g. Identify and confirm excess Navy ammuni-tion items vial the annual ordnance stratification withacquisition program managers and their acquisitionagents. Support program managers/acquisition agentsin the development of a 5-year forecast of ammuni-tion demilitarization/disposal requirements based onanticipated obsolescence and projected delivery of re-placement ordnance. Consolidate acquisition PM5-year forecasts and provide to SMCA.

h. Screen items for which the Navy no longerhas use through other services and Foreign MilitarySales (FMS) program customers for potential use, re-cycling or reclamation, prior to requesting dispositionfrom SMCA. When Received, provide disposition in-structions to munitions custodians.

i. Assure demilitarization, recycling, declassifi-cation and disposal of munitions and related hazard-ous wastes are accomplished in accordance with Fed-eral (to include host nation), State, DoD, and Serviceexplosives safety and environmental regulations, poli-cies and directives and maximize efficiency and re-source conservation.



8-1-3

Tasking and FundingCoordinationOrdnance Transfer

ResourceSponsor

CNO (N411)

WSESRB

JOCG

Demilitarization/DisposalSubgroup

Engineering SupportNSWCDIV

Crane

OtherService/

GovernmentAgency

PEO / PM

EngineeringAgents

NOLSCAMMO

COMNAVSUPSYSCOM

SMCA

SMCAOrdnanceStorageActivity

NavyOrdnanceStorageActivity

SMCAOrdnanceDisposalActivity

DRMSRetail

Activity

NavyOrdnanceDisposalActivity

Figure 8-1-1. Demilitarization/Disposal Management Organizational Relationships



8-1-4

j. Ensure that all proposed changes to DoD4160.21-M-1, the Defense Demilitarization Manual,DoD 4160.21-M, the Defense Reutilization and Mar-keting Manual, or MILSTRIP/MILSTRAP regula-tions which may affect excess munitions inventorymanagement or processing, are coordinated with theNavy Munitions Demilitarization Program Manager(NOLSC-AMMO) and the Navy DDA’s.

k. As the lead Navy DDA, define proceduresfor all Navy DDAs to ensure consistency in manage-ment.

8.1.2.3 Navy DEMIL Technical Support Office.NSWCDIV Crane is tasked by the DemilitarizationPM to provide the following engineering and supportfunctions.

a. Design, procure, and install demilitarizationequipment and facilities including related environmentalcontrol systems to ensure compliance of existing facili-ties with Federal, state, and local governing regulations.

b. Provide guidance in matters of operationspertaining to safety, environmental, and MilitaryMunitions Rule requirements in coordination with theDemilitarization PM.

c. Assist the demilitarization PM in maintainingthe centralized inventory system NSN file.

d. Provide other assistance to field activitiesand the PM, as tasked by the Demilitarization PM.

e. Perform stability tests on bulk explosives andpropellants designated for commercial sale, as re-quired by DoD 4160.21-M and NAVSEA OP 5, Vol-ume 1.

f. Perform environmental testing, analysis, andevaluation of demilitarization processes, systems, andfacilities to ensure compliance with pollution abate-ment requirements are complied with and that abate-ment systems and equipment performance meet Fed-eral, State, and local government standards.

g. Develop processes, systems, and equipmentto meet environmental standards for hazardous mate-rials processing.

h. Provide for program interface with NOLSC-AMMO (N41), Mechanicsburg Pa. for change noticecards and change bulletin updates. Provide for pro-gram interface with DRMS for DoD screening andDoD in-transit reporting requirements. Provide forprogram interface with SMCA for Joint ConventionalAmmunition Policies and Procedures (JCAPP) Demil-

itarization Handbook Volume 1 data, and with theRetail Ordnance Logistics Management System(ROLMS) program for file update at applicable fieldactivities.

8.1.2.4 Special Accounts Property Disposal Offices(SAPDOs). Some ordnance activities, both CONUSand OCONUS, have a SAPDO. Each SAPDO servicesall of the Navy and Marine Corps ordnance activitiesin their geographical area and is responsible for thefollowing:

a. Managing their Special Defense PropertyDisposal Account (SDPDA).

b. Receipt, control, handling, inventory, and dis-position of demilitarization material.

c. Maintaining accountable records.

d. Coordinating workload plans for handlingtheir demilitarization inventory.

e. Monitoring demilitarization operations.

f. Coordinating processing of inert material tothe local DRMO.

g. Managing demilitarization funding for theiractivity.

h. Maintaining accurate records in the central-ized inventory system for their SDPDA assets.

i. Submit annual, quarterly, and monthly finan-cial status reports as required by the PM.

j. Implementation of the MRIP.

8.1.2.5 Field Activities. Activities generating materi-als for disposition and processing Disposal ReleaseOrder’s (DROs) are subject to the policy guidance andprocedural direction provided by a wide range ofinstructions. These include DoD 4160.21-M, DoD4160.21-M-1, NAVSEA OP 5, NAVSEAINST 8027.2,NAVSUPINST 4440.156, NAVSUP P-485 Volume III,NAVSUP P-724, and the Navy Military MunitionsRule Implementation Policy, 27 July 1998. From thesedirectives, the field activities generating excesses areresponsible for the following:

a. Requesting disposition authorization for ord-nance items which have been designated obsolete,unserviceable, uneconomically repairable, or surplus/excess to requirement of technical manager.

b. Preparing Disposal Turn-In Documents(DTIDs) upon receipt of a DRO from the InventoryManager (IM), or for such material that meets criteria



8-1-5

for local demilitarization without need of prior report-ing to the IM. DTIDs are required for all items, ex-plosive ordnance or inert, authorized for demilitariza-tion.

c. Processing expeditiously all DROs.

d. Releasing applicable stock records and trans-ferring material for disposition to the nearest SAPDO.The SAPDO subsequently processes such material toa Military Service SPDA or to a DRMO.

8.1.2.6 Inventory Managers. DoD 4160.21-M, NAV-SEAINST 8027.2, NAVSUP P-485 Volume III, andNAVSUP P-724 individually and collectively containthe responsibilities and procedures to be followed bythe IMs, including the following:

a. Providing DROs to activities generating ex-cess materials.

b. Defining, in conjunction with the technicalmanager, what constitutes declassification and includ-ing such information in the DRO.

c. Identifying on, or transmitting with, theDRO, the major key points of the item which must bedemilitarized, designating the materials containingprecious metals, and providing a Save List of subas-semblies or components subject to reclamation in ac-cordance with NAVSUPINST 4440.156.

8.1.2.7 Single Manager for Conventional Ammuni-tion (SMCA) Responsibilities. The SMCA is assignedthe following disposal responsibilities by DoDINST5160.68.

a. Demilitarize and dispose of all conventionalammunition, including non-SMCA-managed items,for which capability, technology, and facilities existto complete demilitarization and disposal. The SMCAshall accept these items into the demilitarizationstockpile with appropriate technical data, and fund ajoint-Service research and development program fordeveloping the capability where capability, technolo-gy, and facilities do not exist.

b. Acquire equipment and facilities required fordemilitarization and disposal of conventional am-munition at SMCA facilities on a non-reimbursablebasis.

c. Develop a comprehensive demilitarizationand disposal plan annually.

d. Serve as the DoD Designated Disposition Au-thority (DDA) for managing Waste Military Muni-tions (WMM) according to 40 COM Part 266, Sub-part 266, Subpart M. Coordinate WMMdeterminations and actions with Military Service-levelDDAs.



8-2-i

CHAPTER 8.2

Disposal Process

Table of Contents


8.2.1 General 8-2-1

8.2.2 Demilitarization Authorization 8-2-1

8.2.3 Processing Disposal Release Orders (DROs) 8-2-1



8-2-1

CHAPTER 8.2

Disposal Process

8.2.1 General. This section provides an overview ofthe demilitarization/disposal authorization process.More detailed information can be found in NAVSUPP-724.

8.2.2 Demilitarization Authorization. There are twomethods used for authorizing munitions/munition itemsfor demilitarization: Inventory Manager (IM) Demili-tarization Release Orders (DROs) and Local Demilitar-ization Authorization.

8.2.2.1 Inventory managers DROs. DROs are pro-vided to activities holding demilitarization and dispos-al candidates. The DRO directs movement of theseassets to either the servicing DRMO, and Armyactivity, or to another Navy activity.

a. Naval Operational Logistics Support Center(NOLSC-AMMO) Ordnance Information System-Wholesale (OIS-W) Generated DROs.

(1) An OIS-W DRO provides the holding activi-ty both direction and authority to move demilitarizationand disposal candidates.

(2) DROs are generated as a result of the follow-ing process:

(a) For designated Major Command ac-tivities or other activities identified in NAVSUP PubP-724, the monthly OIS-W automated “H” sweep selects“H” CC assets as demilitarization and disposal candidatesand either initiates a DRO, or for select items notifies theIM that “H” condition asset is on hand.

(b) DROs may be issued following theannual Navy Stratification process, in response to a Re-port of Excess/Disposition Request submitted by an activ-ity, or as directed by the acquisition program manager fol-lowing a quality evaluation that declared the materialunsafe or potentially unsafe. An In-Service EngineeringAgent under the direction of the Acquisition ProgramManager performs quality evaluation testing.

(3) There are three types of DROs. DROs forAmmunition, Explosives and other Dangerous Articles

(AEDA) including classified non-explosive ordnance ma-terial will have a Document Identifier Code (DIC) of“BGD” or “BGJ”. DROs for unclassified non-explosiveordnance material will have a DIC of “A5J”.

(a) Condition Codes A, B, C, D, E, F, G,H, N, P, and V are acceptable for DICs “A5J” and “BGD”DROs. DIC BGJ is not used for CC “H”. DROs will not beissued for items in CCJ, K, L and M. Requests received byNOLSC IMs for disposition of items in these CCs may bereturned to the originating activity for the proper physicalCC assignment or may be rejected and returned by theDRMO for the proper classification.

8.2.2.2 Local Demilitarization Authorization.

a. Local authority is not authorized for AEDAor classified non-explosive ordnance material, (DE-MIL codes of G or P), regardless of value. Contactthe appropriate IM for disposition as listed on theNaval Operational Logistics Support Center (NOLSC-AMMO) website, https://www.ois.disa.mil.

b. Unclassified non-explosive Demilitarizationand Disposal Candidate with a value less than$100.00 can be processed by the holding activity us-ing local authority.

8.2.3 Processing Disposal Release Orders (DROs).NAVSUP Pub P-724 provides guidance to processDROs. Activities holding demilitarization and disposalmaterial shall perform the following actions uponreceipt of a DRO:

a. Apply standard Notice of Ammunition Re-classification (NAR) compliance procedures. NARmessages may provide additional guidance or ship-ping direction.

b. Identify type of DRO. The Document Identi-fier Code (DIC) and Supplemental Address (SU-PADD) will determine the required action.

c. Verify the DRO quantity and Condition Code(CC) matches on-hand assets. If the quantity or CC



8-2-2

does not match contact the appropriate IM as listedon the NOLSC-AMMO website.

d. Use the original document number of theDRO throughout the reporting process.

e. See NAVSUP P-724 for situational format-ting for DRO confirmation procedures including DROfollow-ups, cancellations and denials.

f. DD From 1348-1A (per NAVSUP P–724).

(1) AEDA or Classified Non-Explosive Ord-nance Material. Upon receipt of a DRO for AEDA or clas-sified non-explosive ordnance material, prepare a DDForm 1348-1A and ship the material as directed by theDRO.

(2) Attach the following information to the DDForm 1348-1A as applicable:

(a) Save list identifying parts/compo-nents for reclamation (CC “P”) items.

(b) Key Point list identifying “KeyPoints or Lethal Parts” (Demilitarization Code “C” items).

(c) Special demilitarization instructionsfor items with a DEMIL Code of “F”.

(3) Unclassified Non-explosive Ordnance Re-lated Material. Upon receipt of a DRO for unclassifiednon-explosive ordnance related material with a blank SU-PADD, the holding activity shall certify that the materialcontains no items of a dangerous or hazardous nature andtransfer to their servicing DRMO.

(4) Transportation Accounting Codes (TAC). Inorder to segregate and monitor transportations move-ments for demilitarization and disposal, cite the appropri-ate demilitarization Transportation Account Codes, listedin NAVSUP P-724 on all DD Form 1348-1A DisposalTurn-In Documents.

g. Use the holding activities standard shippingprocedures for demilitarization and disposal materialmovements.

h. Demilitarization Code Challenges: The Ac-quisition Program Manager’s engineering agent pro-vides technical data supporting all ordnance items.This information is entered into the Federal LogisticsInformation System (FLIS) during the cataloging pro-cess. OIS-W and other subsystems also maintain thetechnical data. Demilitarization codes within FLIS andthe ordnance subsystems may differ and result in achallenge by the local DRMO. NOLSC-AMMO re-sponds to DEMIL code challenges for the Navy, andfollowing a review by the engineering agent, submitschanges to FLIS as appropriate.



9-i

SECTION 9

Security Assistance Program Management

Table of Contents


9.1 Foreign Military Sales (FMS) 9-1-1

9.2 Standardization Agreements (STANAGs) 9-2-1



9-1-i

CHAPTER 9.1

Foreign Military Sales (FMS)

Table of Contents


9.1.1 Legislative Authority 9-1-1



9.1.4 FMS Case Processing 9-1-1


Figure Title Page

9-1-1 Security Assistance Program Organizational Relationships 9-1-3



9-1-1

CHAPTER 9.1

Foreign Military Sales (FMS)

9.1.1 Legislative Authority. Authorizations and ap-propriations for Foreign Military Sales are providedprimarily by the Foreign Assistance Act (FAA) of1961, as amended, and the annual appropriation actsfor Foreign Operations, Export Financing and RelatedPrograms.

9.1.2 Responsibilities. Chapter 2 of DoD 5105.38-M,Security Assistance Management Manual, describesresponsibilities and relationships of United StatesGovernment departments and agencies for securityassistance programs. Following are security assistanceresponsibilities within the Department of the Navy(DoN).

9.1.2.1 Navy International Programs Office (NavyIPO). The principle DoN organization for handlingsecurity assistance matters us Navy IPO. Under thedirection of Assistance Secretary of the Navy forResearch, Development and Acquisition (ASNRD&A), Navy IPO formulates and implements theDepartment of the Navy (DoN) security assistancepolicy and interfaces with other government agencies.Navy IPO establishes DoN procedures for LOAdevelopment, execution and closure and carries outsales (FMS) requirements. The Director, Navy IPO isalso the Deputy Assistance Secretary of the Navy forInternational Programs (DASN/IP) and serves as anadvisor to the CNO, assigned an OPNAV Code, N5T.

9.1.2.2 Naval Ordnance Logistics Support Center(NOLSC-AMMO). NOLSC-AMMO is responsible forpreparing impact statements for all FMS cases contain-ing conventional ordnance for the cognizant ProgramManager.

9.1.2.3 Program Manager (PM)/Case Manager (CM).The ammunition PM/CM is responsible for planning,executing and closing all ordnance FMS cases, asassigned by Naval Sea Systems Command (NAVSEA),Warfare Systems Engineering Directorate (SEA 06),Office of International Programs (SEA-63). The PM/CM initiates this process by conducting a technicalscreening and obtaining an impact statement fromNOLSC-AMMO. The CNO (OPNAV 411) has finaldecision authority on all sales originating from Navystocks.

9.1.2.4 Naval Inventory Control Point (NAVICP).The NAVICP maintains logistic and financial data inthe Management Information System for InternationalLogistics (MISIL); reports logistics and financial datato the Defense Finance and Accounting Service(DFAS) and FMS customers, and assists with closureof all FMS cases.

9.1.2.5 SEA-63 performs Case Administering Office(CAO) functions established by OPNAVINST4900.149 for cases assigned to NAVSEASYSCOM.They also are available to assist Case Managers inplanning, executing and closing their FMS cases;maintaining current financial data in the StandardAccounting and Reporting System (STARS) andadministering the FMS Administrative budget forNAVSEA.

9.1.3 Organizational Relationships. Figure 9-1-1identifies the organizations involved in the SA pro-gram for non-nuclear ordnance and their relationshipto each other.

9.1.4 FMS Case Development Process. Processingan FMS case takes coordination between many differ-ent DON activities. The following steps are a repre-sentation of a normal progression of an FMS case.

a. Upon receipt, the Letter of Request (LOR) isvalidated by Navy IPO to ensure the potential cus-tomer is an eligible FMS recipient, that the item re-quested may be sold, and that proper submissionchannels were followed. Navy IPO assigns the casedesignator, establishes the case record in the DefenseSecurity Assistance Management System (DSAMS)and forwards the LOR and a DSAMS task to SEA-63.

b. SEA-63 receives the LOR and the DSAMStask and prepares a request for technical screeningthat is sent to the PM.

c. The PM receives the request for technicalscreening. In response the PM conducts the technicalscreening by research, developing response docu-ments related to the case and tracks the progress ofthe request for technical screening. If the foreign re-quest does not conform to all DoN requirements for



9-1-2

the foreign customer in question, the LOR is sentback to the originator through channels. Additionalinformation may be required from the customer and/or the request may be rejected for various reasons. Inall cases, comments are posted in DSAMS in order tomaintain an historical record.

d. The PM reviews the request with regard toasset posture and determines the recommended meth-od of resolution for completion of the case. If theasset is determined to be in sufficient quantity tosupport stock issue on a Replacement-in-Kind (RIK)basis (based on the NOLSC-AMMO Impact State-ment), the PM will obtain asset costs and respondaccordingly. If the asset requires procurement, the PMwill obtain engineering costs from the appropriateEngineering Agent (EA) and responds appropriately.

e. The EA prepares an engineering estimate inaccordance with the recommended guidance providedby the PM. The engineering estimate is included inthe PM’s response to Navy IPO.

f. The EA obtains hardware pricing from Con-ventional Ammunition Integrated Management Sys-tem Open Systems Environment (CAIMS OSE) andProgram Plan Requirement documents.

g. The PM provides the draft LOA data toSEA-63 who reviews it to ensure compliance with allFMS policies and procedures, including proper NAV-SEA disclosure review.

h. NAVSEA then forwards the draft LOA datato Navy IPO in DSAMS. Navy IPO coordinates thepackage with all other appropriate U.S. governmentoffices and forwards the LOA to the customer coun-try.

i. If the requesting country or international or-ganization accepts the terms of the LOA, they sign itand return it to the Navy IPO for implementation toNAVSEA and the CM. If the requesting country orinternational organization does not accept the LOA,further negotiations are conducted or the LOA is can-celled.



9-1-3


President(Commander

in Chief)

Secretaryof

Defense

Secretaryof

State

DFASDenver

Secretaryof the Navy(SECNAV)

Asst SECNAV Research

DevelopmentAcquisition RDA

PEOChief of Naval

OperationsCNO PM

Office of theSecretary of

Defense

DefenseAgencies

DSCA

USDAT&L

NAVICPPhil., PA

DASNInternational

Programs (NIPO)

Naval SupplySysComNAVSUP

Naval SeaSysCom

NAVSEA

Fleet

Weapons

Station

NOLSC-AMMO

CFFC

Figure 9-1-1. Security Assistance Program Organizational Relationships



9-2-i

CHAPTER 9.2

Standardization Agreements (STANAGs)

Table of Contents


9.2.1 Definition 9-2-1

9.2.2 Standardization Areas 9-2-1

9.2.3 Application of Civilian Standards 9-2-1

9.2.4 Languages 9-2-1

9.2.5 Measurement 9-2-2

9.2.6 Interservice Ammunition Working Group (I-AMMOWG) 9-2-2


Figure Title Page

9-2-1 Ordnance Standardization Agreements (STANAGs) 9-2-3



9-2-1

CHAPTER 9.2

Standardization Agreements (STANAGs)

9.2.1 Definition. A North Atlantic Treaty Organiza-tion (NATO) Standardization Agreement (STANAG) isdefined as the record of an agreement among severalor all of the member nations of NATO to adopt like orsimilar military equipment, ordnance, supplies andstores; and operational, logistics, and administrativeprocedures. National acceptance of a NATO alliedpublication issued by the NATO StandardizationAgency (NSA) may be recorded as a STANAG.

9.2.2 Standardization Areas. As described in theSTANAG governing instruction AAP-3, the three mainareas of standardization are interdependent. However,it frequently occurs that a single working group underthe direction of one Tasking Authority (TA) is theappropriate body to effect standardization of a specificmatter which involves two or all three main areas. It isthe responsibility of the working group TA to ensurethat when it undertakes work outside its stated area,the concurrence of all other relevant TAs is obtainedand that thereafter they are kept informed of allprogress. There are three main areas of standardiza-tion:

9.2.2.1 Operational. Operational standardization (doc-trine, tactics, and procedures) is under the taskingauthority of the Military Committee (MC).

9.2.2.2 Material. Material standardization is under thetasking authority of the Conference of NationalArmaments Directors (CNAD).

9.2.2.3 Administrative. Administrative standardizationis normally placed under an appropriate taskingauthority on a case by case basis.

9.2.3 Application of Civilian Standards. As ageneral rule, NATO should apply the following outlinestrategy with respect to the future application ofcivilian standards:

a. NATO STANAGs shall only be developedwhen the respective requirements are not covered byrecognized civilian standards.

b. The following general order of precedenceshall be applied when selecting civilian standards forpurposes of NATO standardization:

(1) International Organization for Standard-ization (ISO).

(2) International Electrotechnical Commission(IEC).

(3) International Telecommunication Union(ITU).

(4) European Standards, such as Euronorm and European Telecommunication Standards (ETS).

(5) Regional Standards.

(6) National Standards.

c. International data banks and the internationalsystem for the classification of standards, ICS, shallbe used to identify relevant civilian standards whichmust be studied for suitability for purposes of NATOstandardization, taking into account regional vari-ances.

d. Each STANAG shall be supplemented by astatement identifying the civilian standard(s) formingthe basis of the agreement, or confirming that nosuitable civilian standard(s) exists. Civilian standardsmay be adopted for purposes of NATO standardiza-tion by referencing the applicable civilian standard-ization organization, number, title and date of issue,under a STANAG cover sheet. Additional militaryaugmentations or limitations may be specified: in thestandard being adopted under the covering STANAG,in the standard(s) supplement, or in the coveringSTANAG itself.

9.2.4 Languages. All STANAGs are promulgated inboth NATO official languages, English and French.For STANAGs that contain large technical annexesand appendices with very little text, the translation ofthose annexes and appendices will be subject tomutual agreement between the TA and the nationsconcerned. Their translation may be accomplished bythe nations or NATO, as determined by the TAs.



9-2-2

9.2.5 Measurement. The International System ofUnits as defined by the ISO (ISO 1000) is to be theprimary system used in NATO standardization docu-ments. If another system is used, it will be stated.

9.2.6 Interservice Ammunition Working Group(I-AMMOWG). I-AMMOWG establishes doctrine andprocedures that allows ammunition interchange tooperate smoothly among NATO nations. I-AMMOWGthus produces the “NATO Land Forces AmmunitionInterchangeability Catalogue (AOP-6).” This catalogforms a significant portion of the NATO AmmunitionStandardization Database, published by the NATOMaintenance and Supply Agency (NAMSA), that iscurrently being used by nations to facilitate the sharingof ammunition interchangeability information. I-AM-MOWG also manages the color coding of NATO landforces ammunition. It assumed the work formerly doneby the Naval Ammunition Interoperability WorkingGroup (NAIWG).

9.2.6.1 Navy Representation. The U.S. Navy repre-sentation on the NAIWPG consists of the followingcommands and offices:

a. Navy International Programs Office.

b. NAVSEA Conventional Ammunition ProgramOffice (PM4).

c. Naval Ordnance Safety and Security Activity(NOSSA).

d. Other ordnance PEOs/PMs participate on ord-nance issues affecting their program(s).

9.2.6.2 Ordnance STANAGs. There are several STA-NAGs covering non-nuclear ordnance. Each STANAGhas an assigned NATO Custodian and a U.S. CogEngineer. Figure 9-2-1 contains the listing of thecurrent and presently proposed STANAGS under thecognizance of the NAIWG, or under the cognizance ofanother Working Party with NAIWG interest.



9-2-3

Number Document Title Custodian U.S. Cog

1214 20 MM Oerlikon Gun Ammunition Interchangeable Within NATO Naval Forces PO NAVSEA PM4

1233 Procedures For RADHAZ Control In Ports and The Territorial Sea FR NOSSA

1239 20 MM RH 202 Gun Ammunition Interchangeable Within NATO Naval Forces GE NAVSEA PM4

1245 40 MM/L60 Gun Ammunition Interchangeable Within NATO Naval Forces UK NAVSEA PM4

1250 100 MM Gun Ammunition Interchangeable Within NATO Naval Forces FR NAVSEA PM4

1283 76 MM/62 Gun Ammunition Interchangeable Within NATO Naval Forces US NAVSEA PM4

1285 40 MM/L70 Gun Ammunition Interchangeable Within NATO Naval Forces GE NAVSEA PM4

1287 5 IN/54 Gun Ammunition Interchangeable Within NATO Naval Forces US NAVSEA PM4

1340 MK 48 MOD 4 Torpedo Interchangeable Within NATO Naval Forces US PEO (SUB)

1341 Harpoon Missile Interchangeable Within NATO Naval Forces US PMA 258D

1342 MK 46 Torpedo Interchangeable Within NATO Naval Forces US PEO (SUB)

1343 ASROC System Interchangeable Within NATO Naval Forces US PMO 406

1345 130 MM (5.125 IN) Decoy Ammunition Interchangeable Within NATO Naval Forces US NAVSEA PM4

1346 L-5 MOD 4 Torpedo Interchangeable Within NATO Naval Forces FR PEO (SUB)

1348 375 ASW Rocket Interchangeable Within NATO Naval Forces FR PMO 406

1349 STANDARD Missile Interchangeable Within NATO Naval Forces GE PMS 422-23

1350 100 MM Decoy System Ammunition Interchangeable Within NATO Naval Forces UK NAVSEA PM4

1359 20 MM F2 Gun Ammunition Interchangeable Within NATO Naval Forces FR NAVSEA PM4

1360 30 MM GOALKEEPER Gun Ammunition Interchangeable Within NATO Naval Forces NL NAVSEA PM4

1361 57 MM L/70 Bofors Gun Ammunition Interchangeable Within NATO Naval Forces NO NAVSEA PM4

1362 PENGUIN Missile Interchangeable Within NATO Naval Forces NO PEO (TSC)

1392 Submarine Pyrotechnics Interchangeable Within NATO Naval Forces NL NAVSEA PM4

1393 57 MM Decoy (Barricade) Ammunition Interchangeable Within NATO Naval Forces UK NAVSEA PM4

1394 20 MM CIWS PHALANX Gun Ammo Interchangeable Within NATO Naval Forces US NAVSEA PM4

1402 Guidelines for the NTA Assessment of Naval Gun Ammunition Interchangeability UK NAVSEA PM4

1405 AOP-27, Guidelines on the Interchangeability of Ammunition Within NATO Naval Forces NL NAVSEA PM4

1417 STING RAY Torpedo Interchangeable Within NATO Naval Forces UK PEO (SUB)

1436 SEA SKUA Missile Interchangeable Within NATO Naval Forces UK Not in U.S. Arsenal

1442 (Proposed STANAG) Rolling Airframe Missile (RAM) US PMS 472

Figure 9-2-1. Ordnance STANAGs



10-i

SECTION 10

Training

Table of Contents


10.1 Systems Acquisition Training 10-1-1

10.2 Ordnance Specialty Training 10-2-1

10.3 Ordnance Training/Qualification/Certification 10-3-1



10-1-i

CHAPTER 10.1

System Acquisition Training

Table of Contents


10.1.1 Training Requirements for Acquisition Managers 10-1-1

10.1.2 Defense Acquisition University (DAU) Mission Operations 10-1-1

10.1.3 Training Requirements Identified During Acquisition 10-1-1



10-1-1

CHAPTER 10.1

Systems Acquisition Training

10.1.1 Training Requirements for AcquisitionManagers.

10.1.1.1 General. Acquisition management is gov-erned by laws and regulations. It has been determinedthat to reasonably hold one accountable for complyingwith these laws and regulations, there needed to beformal training provided specifically targeted to eachfunction within acquisition management. This require-ment led to the creation of the Defense AcquisitionUniversity (DAU) by DoDD 5000.57. The DAU islocated at Fort Belvoir, VA. The mission of the DAUis to educate and train professionals for effectiveservice in the defense acquisition system; to achievemore efficient and effective use of available acquisi-tion resources by coordinating DoD acquisition educa-tion and training programs and tailoring them tosupport the careers of personnel in acquisition posi-tions; and to develop education, training, personnel,and publication capabilities in the area of acquisition.

10.1.2 Defense Acquisition University Mission Ob-jectives. As explained in DoDD 5000.52, the primaryobjective of the Defense Acquisition Technology &Logistics (AT&L) Workforce Education, Training, andCareer Development Program is to create a profession-al, agile, and motivated workforce that consistentlymakes smart business decisions, acts in an ethicalmanner, and delivers timely and affordable capabilitiesto the warfighter. The DAU is part of the careerdevelopment programs. It has five regions for Level I,II, and III certification training. They are for Westregion at San Diego, CA, the Midwest region atKettering, OH, the South region at Huntsville, AL, themid-Atlantic region at California, MD and the capital& Northeast region at Ft. Belvoir, VA. The DefenseSystems Management College (DSMC), at Ft. Belvoir,VA is also part of the DAU providing both ProgramManager and Executive Program Managers (PM)courses. Completion of these courses meets the statu-tory requirement for Program Executive Officer/ACATI/II PM & Deputy PM positions (10 USC 1735).

10.1.3 Training Requirements Identified DuringAcquisition.

10.1.3.1 Navy Training Plan (NTP). The NTP is aproduct of the acquisition process. It is an officialstatement of billets, personnel, and training resourcerequirements needed to support the introduction andlife cycle operational use of an ordnance item orweapons system. The NTP assigns responsibilities forplanning, programming, and implementing actionsnecessary to accomplish the following:

a Ensure coordination of billets, personnel, mil-itary construction, training support, and training plan-ning concurrently with the ordnance item or weaponssystem development and production.

b. Provide efficient and adequate trainingprograms phased with initial ordnance item or weaponssystem introduction and subsequent modifications.

10.1.3.2 Training Aids. Another important trainingissue during the acquisition phase is identifyingtraining aid requirements and including them in theacquisition plan. Training aids are covered in the NTP.However, occasionally an ordnance item or weaponssystem will be introduced into the system, or anexisting one modified, which does not result in thedevelopment or update of an NTP. In these cases theneed for new training aids must still be considered.

10.1.3.3 Training Aid Users. While developing anacquisition plan for a new ordnance item or weaponssystem, the following schools at a minimum need tobe consulted to determine if any training aid require-ments exist to provide proper training to the Fleet onthe new item:

a. Gunners Mate (GM) School,Service Schools Command(SERVSCOLCOM)Great lakes, IL 60088-5400

b. Fleet Combat Training Center Atlantic(FCTCL), Dam Neck1912 Regulus Ave.Virginia Beach, Va 23461-2098



10-1-2

c. Navy School, Explosive Ordnance Disposal(NAVSCOLEOD)Eglin AFB, FL 32542-6009

d. Defense Ammunition CenterAttn: SJMAC-AS1 C Tree RoadMcAlester, OK 74501-9054



10-2-i

CHAPTER 10.2

Ordnance Specialty Training

Table of Contents


10.2.1 Training Requirements 10-2-1

10.2.2 Training Sources 10-2-1

10.2.3 Schoolhouses 10-2-1



10-2-1

CHAPTER 10.2

Ordnance Specialty Training

10.2.1 Training Requirements.

10.2.1.1 General. Training requirements for individu-als and groups involved directly or indirectly inordnance or explosives handling can be found in manydifferent instructions. Most process governing instruc-tions contain a section which identifies requiredtraining. NAVSEA OP 5, Volume 1, covers a broadspectrum of training requirements and training sources.Each TYCOM has ordnance training courses listed intheir training requirements manual. There are manytechnical training courses available to cover trainingrequirements in the following:

a. Ordnance management.

b. Explosives safety.

c. Ordnance transportation.

d. Ordnance handling.

e. Ordnance automated management systems.

10.2.2 Training Sources. For many, identifying allof the available training is as difficult as determiningall of the training requirements. No one documentexists that identifies all of the available ordnancetraining. One good source is the Catalog of NavyTraining Courses (CANTRAC). CANTRAC is accessi-ble thru the Corporate Enterprise & Training ActivityResource System (CETARS) at: https://cetarsweb.cnet.na-vy.mil. In this era of joint training, there are manyformal ordnance training courses offered by the Armythat are available to the Navy, and informal ordnancetraining courses within the Navy, that do not have anassigned Navy Course Identification Number. TheCatalog of Nonresident Training Courses, NAVEDTRA12061, provides information on available correspon-dence courses.

10.2.3 Schoolhouses. The following schoolhousesprovide the majority of the formal training or trainingmaterials for informal training:

a. Defense Ammunition Center (DAC) McAles-ter, OK. As directed in DoD 5160.65-M, DAC pro-vides training in ordnance management, explosivessafety, and ordnance transportation to all DoD mili-tary and civilian personnel. Navy related training isavailable thru Computer Based Training (CBT) CD-ROM media and conducted both at DAC and on siteat the requesting activity.

b. Fleet Combat Training Center (FCTCL), DamNeck, VA. FCTCL provides training in ordnancemanagement and ordnance handling for military per-sonnel on the East coast.

c. Fleet Training Center (FTC), San Diego, CA.FTC provides training in ordnance management andordnance handling for military personnel on the Westcoast.

d. NSWCDIV Crane. Crane provides on sitetraining on ROLMS as requested. Further informationcan be obtained by calling the ROLMS help desk atNSWCDIV Crane, IN.

e. NSWCDIV Indian Head. Indian Head pro-vides standardized training materials for informal ord-nance handling, and ordnance transportation courses.Training materials or further information can be ob-tained by calling NSWCDIV Indian Head, MD.

f. Surface Warfare Officer’s School (SWOS),Newport RI. SWOS provides ordnance managementtraining for Surface Warfare Officers. Further infor-mation can be obtained by accessing the SWOS website at: http://www.swos.navy.mil/.



10-3-i

CHAPTER 10.3

Ordnance Training/Qualification/Certification

Table of Contents


10.3.1 General 10-3-1

10.3.2 Personnel Training and Qualification 10-3-1

10.3.3 Certification 10-3-1

10.3.4 Training Program Evaluation and Improvement 10-3-2

10.3.5 Qualification/Certification Program Inspection 10-3-2



10-3-1

CHAPTER 10.3

Ordnance Training/Qualification/Certification

10.3.1 General. In accordance with the policy setforth in OPNAVINST 8020.14/MCO P8020.11, activi-ties shall conduct tasks involving ordnance in thesafest manner possible. To minimize the probability ofa mishap, the potential for personnel errors must becontrolled through training (qualification) coupled witha management process designed to prevent inadequate-ly trained personnel from performing Ammunition &Explosive (A&E) jobs/tasks. Therefore the CNO willimplement the Qualification/Certification (QUAL/CERT) Program as part of an overall ExplosivesSafety Program designed to maximize explosivessafety while meeting mission requirements. The resultsof ordnance mishap investigations have often identifiedthe presence of an individual who was not properlyqualified nor certified to perform the assigned task.This fact figured prominently in the assessment ofwhy the incident occurred and how a qualified andcertified individual’s subsequent actions could havemitigated the degree of damage the incident caused.To fully understand the QUAL/CERT program onemust first have an understanding of the two terms.

a. Qualification. A documented list of require-ments an individual must satisfy prior to being certi-fied. Examples are; testing, formal classes, licenses,documented On-the-Job Training (OJT), experience,demonstrated task proficiency, and physical (medical)examination.

b. Certification. A formal documented declara-tion by the Commanding Officer/Officer-in-Charge, ortheir designated representative, that an individual, byvirtue of management review, has met all of the qual-ification requirements established to perform a task.

10.3.1.1 Responsibilities. The Commander Naval SeaSystems Command shall issue a QUAL/CERT instruc-tion that complies with the policy found in OPNA-VINST 8020.14/MCO P8020.11. Commander, AtlanticFleet/Commander, Pacific Fleet shall also issue aQUAL/CERT instruction that complies with OPNA-VINST 8020.14/MCO P8020.11. Other major claim-ants shall comply with either the NAVSEA or Com-mander, PACFLT/LANTFLT QUAL/CERT instructions.It is important to understand that although there aremany individuals and commands that have responsibi-

lities for QUAL/CERT programs (i.e., training), eachCommanding Officer/Officer-in-Charge is individuallyresponsible for the QUAL/CERT program at theircommand and all personnel positions which should fallunder their program.

10.3.1.2 Governing Instructions. NAVSEA Instruction8020.09B, Ammunition and Explosives PersonnelQualification and Certification Program, implementsthe explosives handling personnel QUAL/CERT pro-grams.

10.3.2 Personnel Training and Qualification. Thetraining portion(s) of the qualification requirementscan be met by a mixture of formal classroom training,computer-based training, correspondence courses, Non-nuclear Explosive Ordnance Shipboard Handling andStowage Personnel Qualification Standards (PQS), andOJT. Some formal training class requirements areestablished by public law as identified in the appropri-ate process governing instruction(s). Except as autho-rized by OPNAVINST 8020.14/MCO P8020.11, asapplicable, only inert devices shall be used forQUAL/CERT training and examination.

10.3.3 Certification.

10.3.3.1 Certification Levels. Although there aresome differences between implementing instructions,there are two basic certification levels as follows:

a. Team Member (TM).

b. Team Leader (TL).

10.3.3.2 Certification Process. The Commanding Of-ficer/Officer-in-Charge establishes a QUAL/CERTBoard which is responsible for defining all parametersof the program, using the requirements established inthe appropriate implementing instruction. If the com-mand is too small to properly implement the program,its personnel can be covered in the parent command’sQUAL/CERT program. The essential QUAL/CERTprogram elements are designed to ensure the follow-ing:

a. Specify jobs/tasks that require QUAL/CERT.



10-3-2

b. Establish minimum standards of personnelcompetency in terms of training, proficiency, and lev-el of supervision necessary for successful perfor-mance of the job/task. Emphasis for qualificationshould not be focused solely on completion of re-quired training, but should shift toward the final dem-onstrated proficiency level for the job/task being per-formed.

c. Establish a method of documenting personnelqualifications and certifications necessary to performthe job task.

10.3.3.3 The certification process commences oncean individual is identified for assignment to a position/task covered by the command QUAL/CERT program.The individual undergoes the training and otherqualification requirements. Upon completion of allqualification requirements, the individual’s supervisorsubmits all required documentation to the QUAL/CERT Board Chairperson indicating the individualmeets the required qualifications. The QUAL/CERTBoard Members evaluate personnel for certificationand submit Proficiency Demonstrations (PD) to theimmediate supervisor. The PD is the safe and effectiveperformance by an individual seeking certification/re-certification of a task. PDs are:

a. Prohibited from using A&E for first time TMcertification.

b. Required at a minimum for first time TM andTL certifications.

c. Required for annual re-certification.

10.3.3.4 Suspension or Revocation. Immediate super-visors shall immediately remove personnel from thejob site if they are working in an unsafe manner orcreating hazards for themselves or co-workers. Notifythe QUAL/CERT Board Chairperson of disciplinaryactions, poor performance, obvious deterioration inphysical ability or attitude problems that could ad-versely affect an individuals ability to work safely andefficiently. Suspension or revocation action shall betaken by the QUAL/CERT board, as appropriate,following disciplinary action, an explosives mishap, orabsence from ordnance task(s) for a specified periodof time. As part of the suspension or revocationaction, the board should identify if re-certification ispossible at a future date and what actions would berequired of the individual prior to re-certification.

10.3.3.5 QUAL/CERT Standardization. The imple-menting instructions have been written to assistcommands in utilizing qualified personnel from othercommands. This emphasizes the importance of thedocumentation being maintained so that it can beeffectively reviewed in a short period of time by therequesting command to provide certification for theneeded personnel providing the assistance.

10.3.4 Training Program Evaluation and Improve-ment. To assure the continued currency, relevance,technical accuracy, and adequacy of ordnance trainingcourses, various means of measuring their effective-ness have been implemented. The Chief of NavalEducation and Training (CNET) maintains a trainingappraisal program based on external feedback from allNavy activities to improve the quality of schoolgraduates and, thus, enhance Fleet readiness. Othermilitary service schools which provide training toNavy and Marine Corps military and civilian personnelhave similar programs. The other major means ofprogram evaluation is a training audit program. Auditteams made up of personnel with the appropriatetechnical and training expertise conduct periodic auditsof individual courses looking at both subject mattercontent and method of presentation. The SYSCOMs,or their designated representatives, are the coordinatorsfor audits of ordnance courses which are system orprocess specific under their cognizance. It is importantthat commands with ordnance QUAL/CERT programsbe actively involved in the feedback and auditprograms to ensure a comprehensive training programthat is responsive to the needs of the Fleet.

10.3.5 QUAL/CERT Program Inspection.

10.3.5.1 Per NAVSEAINST 8020.14B, the NavalOrdnance Safety and Security Activity (NOSSA) isdesignated as the technical authority for explosivessafety and serves as the office of primary responsibil-ity for all matters affecting the Explosive SafetyInspection (ESI) Program. ESSOLANT/ESSOPAC areresponsible for conducting ESIs and providing techni-cal assistance, when requested, to all Navy and MarineCorps shore activities.

10.3.5.2 Shore activities will be subject to an ESIonce every two years.

10.3.5.3 Self Audit: As part of the ESI, shoreactivities are required to establish a formal writtenExplosives Safety Self Audit (ESSA) Plan which mayincorporate Appendix A to NAVSEAINST 8020.14B.An audit of the activities QUAL/CERT Program is



10-3-3

part of that ESSA. The ESSA Plan is subject to ESIreview.

10.3.5.4 The QUAL/CERT Program is an area underthe safety program. Each element of the QUAL/CERTProgram will be inspected and evaluated during anESI. The elements of the QUAL/CERT Program are:

a. Training.

b. Records.

c. Ordnance Handlers Qualification.

d. Certification Process.



11-i

SECTION 11

Surface Launched Missiles

Table of Contents



11.2 Organizational Level Maintenance 11-2-1

11.3 Intermediate Level Maintenance 11-3-1

11.4 Depot Level Maintenance 11-4-1



11-1-i

CHAPTER 11.1

Introduction

Table of Contents


11.1.1 General 11-1-1


11.1.3 Applicability 11-1-1

11.1.4 Rolling Airframe Missile (RAM) 11-1-1

11.1.5 Maintenance Philosophy 11-1-1

11.1.6 Inventory Administration 11-1-1

11.1.7 Asset Readiness Objective 11-1-1

11.1.8 All-Up-Round (AUR) Surface Launched Missile 11-1-1

11.1.9 All-Up-Round (AUR) Maintenance Concept 11-1-1

11.1.10 All-Up-Round (AUR) Test Concept 11-1-3

11.1.11 Deep Stowage Concept 11-1-3

11.1.12 Missile Sentencing Inspection (MSI) 11-1-3

11.1.13 Missile Reissue Inspection (MRI) 11-1-3

11.1.14 All-Up-Round (AUR) Pipeline 11-1-3

11.1.15 Assignment of Maintenance Levels and Responsibilities 11-1-5

11.1.16 Missile Logbooks 11-1-5


Figure Title Page

11-1-1 Missile Model Matrix 11-1-2

11-1-2 All-Up-Round Pipeline 11-1-4

11-1-3 Surface Launched Missile Maintenance Levels and Actions 11-1-6

11-1-4 Assigned Level of Maintenance for Rolling Airframe Missiles (RAM) 11-1-7

11-1-5 RAM Logbook Sample 11-1-8



11-1-1

CHAPTER 11.1

Introduction

11.1.1 General. This chapter addresses maintenanceprogram management for surface launched missiles.During a weapon system’s deployment life cycle phase,maintenance program management is a critical functiondue to the impact of maintenance requirements on theeffective use of personnel, material, facilities, and fiscalresources. Maintenance program management functionincludes maintenance planning, coordinating, budget-ing, and evaluation program processes. Surfacelaunched missiles are under the cognizance of the NavalSea Systems Command (COMNAVSEASYSCOM). In-ventory management responsibilities are assigned to theNaval Operational Logistics Support Center (NOLSC),Mechanicsburg, PA. Throughout this section the term“surface launched missile” will include those designatedshipboard missiles capable of being launched fromNaval surface combatants as indicated in Figure 11-1-1.

11.1.2 Responsibilities. Volume I, Chapter 2.2 de-fines maintenance function and responsibilities thatapply to surface launched missiles. Chapters 11.2through 11.4 describe the Organizational, Intermediate,and Depot level maintenance actions that apply tosurface launched missiles.

11.1.3 Applicability. Paragraph 11.1.4 provides sur-face launched missile system descriptions. Figure 11-1-1provides a missile model matrix defining employment.

11.1.4 Rolling Airframe Missile (RAM). TheRIM-116 RAM is a surface launched, lightweightquick-reaction, fire and forget missile designed todestroy anti-ship missiles and asymmetric air andsurface threats. Currently there are two RIM-116configurations: Block 0 (RIM-116A) and Block 1(RIM-116B). The Block 0 design is based on theinfrared seeker of the Stinger missile, and the warhead,rocket motor, and fuse from the Sidewinder (AIM-9M)missile. The Block 0 configuration uses Radio Frequen-cy (RF) for midcourse guidance and transitions toInfrared (IR) guidance for terminal engagement. Thereis no shipboard support required (i.e. no illuminators)after missile launch. While retaining Block 0 guidancemodes, Block 1 incorporates the added capability ofautonomous IR-all-the-way guidance, thus counteringadvanced anti-ship missiles that do not employ onboardradar seekers. The missile’s inherent seeker design and

performance characteristics enable engagement of heli-copters, aircraft and surface threats.

11.1.5 Maintenance Philosophy. The surfacelaunched missile maintenance philosophy is based onthe All-Up-Round (AUR) maintenance concept andutilizes the three tiered maintenance structure describedin Volume I, Chapter 1.3 of this instruction. Mainte-nance processes are designed to achieve the specificsurface launched missile system’s assets readinessobjective as established by the Chief of Naval Opera-tions (CNO). The objective of the processes is toachieve and maintain established asset readiness objec-tive with optimal use of manpower, material, and fiscalresources.

11.1.6 Inventory Administration. NAVSUP P-724provides administrative procedures for inventory report-ing.

11.1.7 Asset Readiness Objective. The CNO estab-lishes an asset readiness objective for each surfacelaunched missile system based on the Non-NuclearOrdnance Requirements (NNOR) model, developed inaccordance with OPNAVINST 8011.9A. The assetreadiness objective, Fleet operational requirements andship fill requirements are the goal to be achieved andmaintained by the Naval Ordnance Maintenance Man-agement Program. Asset readiness is expressed as theratio (in percentage) of serviceable assets in theinventory. The CNO monitors asset readiness, andmission readiness as described in Volume I, paragraphs2.1.4 and 2.1.5 for each individual system.

11.1.8 All-Up-Round (AUR) Surface Launched Mis-sile. An AUR surface launched missile is provided tothe Fleet as a complete assembly in its end itemconfiguration.

11.1.9 All-Up-Round (AUR) Maintenance Concept.The AUR missile maintenance concept is a maintenancemethodology designed to accommodate the processingof AUR surface launched missiles throughout thelogistics life cycle. The objectives of the AUR mainte-nance concept are:

a. To issue fully assembled missiles to the Fleetwhich require minimal checkout.



11-1-2

Surface-to-AirRIM

Surface-to-AirRTM

Rolling Airframe Missile RIM-116A/B MK 44 MOD 0MK44 MOD 1MK44 MOD 2MK44 MOD 3

MK47 MOD 1MK47 MOD 6MK47 MOD 7

Figure 11-1-1. Missile Model Matrix



11-1-3

b. To affect improvements in surface launchedmissile handling and storage throughout the logisticssequence.

c. To affect major decreases in weapon loadingand downloading operational times.

11.1.10 All-Up-Round (AUR) Test Concept. TheAUR missile test concept is a maintenance methodologydesigned to assess specific operational parameters of theAUR missiles as the final maintenance action, per-formed in the configuration, which will be forwarded tothe user. The AUR test is intended to verify compliancewith test specification parameters and provide anacceptable degree of assurance that only weapons withhigh probability of success are issued to the operatingforces.

11.1.11 Deep Stowage Concept. Deep stowage is ameans of protecting the AUR missile. The objective ofdeep stowage is to maintain assets in their highest stateof readiness until needed to support operational require-ments. Deep stowage describes assets when they arestored in a protected environment. Assets stored undersuch conditions normally remain in their shippingcontainers with weapon station seals intact. Deepstorage assets are protected from degradation cause byday-to-day exposure to the environment, thereby provid-ing the highest confidence level that the AUR willaccomplish the mission. In order to meet the highestconfidence level, a missile must meet the followingcriteria:

a. Deep stowed in an undamaged container withone or more traceable seals intact.

b. No restrictions Notice of Ammunition Reclassi-fication (NAR) on use of missiles or components.

c. Missile is within serviceable period.

d. Serial number on Code A, material conditiontab/label matches the serial number on the container.

11.1.11.1 Deep Stowage (Afloat). Assets are classifiedas deep stowage for as long as they remain in theirshipping containers and are stored in a protectedenvironment in magazines, which are in accordancewith NAVSEA OP5, Volume I, and NAVSUPP-805/807.

11.1.11.2 Deep Stowage (Ashore). Assets are classi-fied as deep stowage for as long as they remain in theirshipping containers and are stored in a protectedenvironment in magazines, which are in accordancewith NAVSEA OP5, Volume I, and NAVSUPP-805/807.

11.1.12 Missile Sentencing Inspection (MSI). Thisinspection is a visual external examination (screening)of the shipping container when a transfer of assets isaccomplished. An MSI can be performed in operatingbuildings, segregation facilities, waterfront piers, or inany approved inspection area permitted by NAVSEAOP5, Volume I. MSI procedures have been developedfor each individual missile series and are contained inNAVSUP P-805/807.

11.1.13 Missile Reissue Inspection (MRI). TheMissile Reissue Inspection (MRI) is designed to takemaximum advantage of surface launched missile Re-cer-tification Due Dates (RDD). The RDD is the date asurface launched missile or component must be returnedto the Depot for testing. The RDD is established byadding Serviceable In-Service Time (SIST) to the latesttest date, but may not exceed the date that an internalcomponent’s service life will expire. The SIST is thatperiod of time a surface launched missile may remainin operational use and/or storage before its internalelectronic or mechanical components require a test ormaintenance action to validate suitability for operationaluse. The SIST clock starts with the Date of the LastTest (DOLT) performed by an authorized activity.Service life is the period of time a missile explosivecomponent may remain in operational use and/orstorage. The service life starts with the date ofmanufacture. Missiles failing the MRI are returned forrequired repair actions before reissue.

11.1.14 All-Up-Round (AUR) Pipeline. Figure 11-1-2is a simplified block diagram that depicts the flow ofAUR missile from acquisition through final expenditure.A brief discussion of the pipeline follows:

11.1.14.1 Upon COMNAVSEASYSCOM acquisitionof the AUR surface launched missiles, they are shippeddirectly from the vendor to a storage point where theyare entered into the Navy supply system, trackedthrough the Ordnance Information System (OIS) andissued to the Fleet.



11-1-4

NAVSEA

AcquisitionVendor WPNSTA Fleet Expend

NRFI

BCM

NOTES:

AUR - All-Up-Round

BCM - Beyond Capable Maintenance

WPNSTA - Weapons Station

NRFI - Not Ready-for-Issue

RFI - Ready-for-Issue

RFI

Figure 11-1-2. All-Up-Round Pipeline



11-1-5

11.1.14.2 AUR missiles issued to the Fleet remainunder Fleet Commander cognizance until expenditure,RDD is due, SIST expires, service life expires, ormalfunction occurs. With the exception of those AURmissiles normally remains containerized and are placedin deep stowage. Through the use of MSI, missilesmeeting ready for issue criteria will remain availablefor redeployment or shipped to storage awaiting issue.

11.1.14.3 When a Fleet-issued AUR missile becomesnon ready-for-issue because the RDD is expended,service life expires, or malfunction occurs, it is returnedto the appropriate maintenance facility for repair orre-certification. Missiles that are Organizational orDepot level maintenance (O or D) are shipped directlyto the respective depot. All missile transactions andstatus changes are reported and tracked through the OISsystem.

11.1.14.4 AUR missiles returned to a maintenancefacility are inspected, tested, and repaired in accordancewith the applicable approved procedures. Repaired andre-certified AUR missiles are again ready for Fleetissue. Contractor repaired AUR missiles are shippeddirectly form the vendor back to a storage point wherethey are again ready for Fleet issue. AUR missiles andcomponents continue to be tracked in OIS wholesalethroughout the process. Any changes in their configura-tion or status are reported via transaction item reportingand ammunitions transaction reports.

11.1.15 Assignment of Maintenance Levels and Re-sponsibilities. Figure 11-1-3 provides an overview ofsurface launched missile maintenance actions and themaintenance level to which they are normally assigned.Figure 11-1-4 assigns maintenance responsibilities forRolling Airframe Missiles (RAM). Maintenance action,peculiar record keeping and reporting requirements areinherently included in these assignments. Selectedhigher-level maintenance actions may be performed atdesignated lower level maintenance levels when autho-rized.

11.1.16 Missile Logbooks. Logbooks and records arean integral part of surface launched missile mainte-nance. Logbooks accompany each surface launchedmissile and are the administrative means of providingmanagers with surface launched missile age, status,operational history, movement, modification, configura-tion, transfer, and receipt accounting data. Properlymaintained logbooks document each individual surfacelaunched missile’s operational history, movement, modi-

fication and maintenance actions through-out its life-cycle. Surface launched missile logbooks serve as thebaseline document for this purpose. The Serialized LotItem Tracking System (SLITS) subsystem of theNOLSC OIS requires MK, MOD, nomenclature, partnumber, serial number, national stock number, andNaval Ammunition Logistics Code (NALC) whereapplicable, for inventory control. Specific guidelines onthe proper logging procedures are included in thesurface launched missile logbook. Missile logbookentries, or data for subsequent entry into the logbooks,are required at each level of maintenance see Figure11-1-5 for a sample RAM logbook. Missile logbookentries are required when:

a. Modification of the missile has been accom-plished.

b. Technical Directives (TDs) have been incorpo-rated.

c. Maintenance has been performed.

d. An age-limited component has been replaced.

e. Extension of the AUR RDD. Many times thelogbook cannot be readily accessed when the AURRDD on the container is updated. Therefore, the RDDmarked on the container takes precedence over the log-book. It is not necessary to un-palletize a unit pack tomark the new RDD on all sides of the container whena RDD is changed, extended or re-established. The lat-est RDD marking on a container will be used providedthat it matches the markings on the material conditiontag/label. The logbook should be changed to reflect themore current RDD on the container at the first avail-able opportunity that does not create additional work-load to remove logbook.

11.1.16.1 The Naval Surface Warfare Center, Coronahas been designated as the repository for all surfacelaunched missile logbook information. Permanent filesare periodically updated by maintenance data systeminput and are kept on each missile. Upon expenditureof the surface launched missile, the logbook is sent toNaval Surface Warfare Center, Corona in accordancewith logbook instructions. Activities that receive incom-plete or missing surface missile logbooks and recordsshould contact the Naval Surface Warfare Center,Corona for current copy of the logbook. Missing missilelogbooks can be obtained by downloading them directlyfrom a website by personnel with approved access fortheir type/model/series missile.



11-1-6

Organizational Intermediate Depot

Inspect container.

Service desiccant.

Comply with NARs and TDs.

Load and download missilefrom launcher.

Inspect missile.

Inspect container.

Service desiccant.


Minor maintenance/repairs.

Clean missile and external parts asrequired. Perform paint touch-upand corrosion control.

Repackage missile container.

Container repair.

Inspect All-Up-Round.

Inspect container.

Service desiccants.


Minor maintenance/repairs.

Clean missile and external parts asrequired. Perform paint touch-up andcorrosion control.

Repackage missile container.

Container repair.

Remove and replace section; replaceinternal and external component only.

Inspect, test, replace rocket motor.

Inspect, repair, modify warhead, safeand arm device, and electronic firingswitch.

Inspect, test, repair, rework, modify,and replace fuze and target detectiondevice.

Inspect, repair, modify, and replacewings and fins.

Inspect, test, repair, rework, modifyand replace launch canister/containers.

Inspect, test, repair, rework, andmodify guidance and control sectionor guidance and control group to as-sembly, subassembly, or componentlevel. Reassemble and perform finalsystem test.

All-Up-Round and section testing.

Figure 11-1-3. Surface Launched Missile Maintenance Levels and Actions



11-1-7

Activity Level of Responsibility

Ship Organizational level maintenance.

Weapon Station Yorktown, PA Intermediate level maintenance for missile.Depot level maintenance for containers.

Army Ordnance Depot Tooele, UT Intermediate level maintenance for missile.Depot level maintenance for containers.

Weapon Station Earle (PHS&T Cen-ter)

Designated overhaul point for containers.

Naval Surface Warfare Center,Indian Head, MD

Quality Evaluation of rocket motors and warheads.

Naval Surface Warfare CenterDivision, Crane, NJ

Quality evaluation of batteries, AOTD and S&A.

Contractor: Raytheon Depot level maintenance.

Figure 11-1-4. Assigned Level of Maintenance for Rolling Airframe Missiles (RAM)



11-1-8

Figure 11–1–5. RAM Logbook Sample

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)

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NY

MK

:xx

NA

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:xx

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NSN

: x

xxx-

xx-x

xx-x

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RA

M G

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P S

/N:

Uxx

xxx

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TE

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xx

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DU

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yy

NSW

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ivis

ion

8800

/2 (

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)


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Figure 11–1–5. R

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GENERAL INSTRUCTIONSREMARKSThis logbook is formatted for use by all participating Governments in the MK 31 RAM Guided Missile Weapon System. If the logbook becomes separated from its respective Guided Missile Round Pack (GMRP), or when a missile is expended, the information will be entered into the logbook and the entire logbook (original logbook) shall be sent to the address below by all countries:

COMMANDING OFFICERATTN: RAM PREFLIGHT ANALYSIS PROGRAMNaval Surface Warfare Center Corona DivisionCode PE 31PO Box 5000Corona, California 92878–5000

GERMAN AMMUNITION DATA CARD REQUIREMENTS

U.S. ORGANIZATIONAL/SHIPBOARD LEVEL GMRP INSPECTIONS

U.S. INTERMEDIATE LEVEL GMRP INSPECTIONS

U.S. AND GERMAN GMRP RECERTIFICATION DUE DATE (RDD)

German ammunition data cards are provided with all German Navy logbooks by the German Government.

All GMRPs are required to have a receipt inspection. The Organizational/Shipboard Level GMRP receipt inspection and procedures are specified in Maintenance Requirement CARD (MRC) number R-14.

All GMRPs are required to have a receipt inspection. The Intermediate Level GMRP receipt inspection and procedures are specified in NAVSUPP-805/807.

U.S. DEPOT LEVEL GMRP INSPECTIONSAll GMRPs are required to have a receipt inspection. The Depot Level GMRP receipt inspection and procedures are specified in the Raytheon, Tucson Contracts.

GMRPs with expired RDDs shall be shipped to the following applicable facilities:

U.S. NAVY ADDRESS:Raytheon Missile System1151 E. Hermans RoadBuilding 866–FACO Receiving (RAM)Tuscan, Arizona 85706

GERMAN NAVY ADDRESS:Depot ZetelFuhrenkampD 26340 ZetelGermany


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RAM GMRP CONFIGURATION SUMMARY

1. DATE PREPARED 2. RAM GMRP SERIAL No. & MK / MOD

RAM GMRP CONFIGURATION SUMMARY(Instructions are on the back of this page) 3. ACTIVITY UIC 4. NALC 5. NSN

6. RFI DATE 7. LAST GCG TESTDATE

8. RECERTIFICATION DUE DATE 9. CONDITION CODE 10. QA STAMP

11. COMPONENT NAME 12. MK / MOD OR PART No.(SOFTWARE VERSION)

13. SERIAL No. (CHECK SUM)

14. LOT No. 15. MANUFACTURER 16. MANUFACTURER DATE

Guidance Section

Flight Software Version/Check Sum

Control Section

Guidance and Control Group

Target Detector

Safe and Arm Device

Warhead

Telemeter N/A

Guided Missile N/A

Propulsion Section (Rocket Motor)

Canister N/A

Connector Round Identification

17. DEVIATIONS AND WAIVERS 18. ORDALT/ECP INCORPORATED 19. TELEMETRY FREQUENCY (MHz)

20. REMARKS


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RAM GMRP CONFIGURATION SUMMARY INSTRUCTIONS

Block

This “RAM GMRP CONFIGURATION SUMMARY” form is only to be completed by the GMRP Original Equipment Manufacturer (OEM). A copy ofthe completed logbook shall be sent to the specified address as noted on the “GENERAL INSTRUCTIONS” page.

Instructions

1 Enter the date the form was prepared.2 Enter the Serial Number (S/N) and MK / MOD of the GMRP.3 Enter the Activity UIC.4 Enter the Navy Ammunition Logistics Code (NALC) of the GMRP.5 Enter the National Stock Number (NSN) of the GMRP.6 Enter the date that the missile was Ready for Issue (RFI).7 Enter the date of the last successful functional Guidance and Control Group (GCG) test.8 Enter the Recertification Due Date (RDD). (Recertification intervals: Block 0: US = 10 years, GE = 7 years; Block 1:

US&GE = 7 years.9 Enter the Condition Code of the GMRP.10 Enter the Government or Contractor QA stamp for the inspector performing final acceptance of the GMRP.11 No entries required.12 Enter the MK / MOD or Part Number of the component. (For Software Version/Check Sum enter Software Version Number).13 Enter the Serial Number of the component. (For Software Version/Check Sum enter Check Sum).14 Enter the Lot Number of the component (if applicable). (NOTE: for the Propulsion lot number, enter the Rocket Motor lot number).15 Enter the Name (acronym) of the manufacturer of the component. (Note: for the Propulsion section enter the

Rocket Motor manufacturer).16 Enter the Manufacture Date of the component.17 Enter all Deviations and Waivers applicable to this GMRP.18 Enter all ORDALT/ECP incorporated in the GMRP.19 Enter Telemetry Frequency if applicable.20 Enter any configuation remarks that exceed the available space in blocks 1 – 20 above.


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RAM GMRP TRANSACTION LOG(Instructions are on the back of this page)

1. RAM GMRP SERIAL No. & MK / MOD

(Instructions are on the back of this page)

2. DATE 1 3. ACTIVITY UIC 4. CONDITION CODE 2

5. INITIAL 6. HUMIDITY LEVEL %

7. CONTAINER SERIAL No.

8. REMARKS

NOTES:

1. Within 24 hours after each entry, make a copy of the Transaction Log and forward to:

COMMANDING OFFICERATTN: RAM PREFLIGHT ANALYSIS PROGRAMNaval Surface Warfare Center Corona DivisionCode PE 31PO Box 5000Corona, California 92878–5000

2. Condition Codes other than “A” require a Product Quality Deficiency Report (PQDR) or Conventional Ordnance Deficiency Report (CODR) IAWVolume 1, Chapter 4.6 of this instruction.


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RAM GMRP TRANSACTION LOG

Block

Whenever a GMRP changes custody (shipped or received), this form shall be completed and a copy shall be sent to the appropriate address below. Infor-mation regarding any delay between date shipped and date received shall be explained. Activities are required to report any damage caused while in–transit IAW local procedures in addition to any other reports required. If the GMRP has been exposed to some extreme condition, such as a vehicle acci-dent or the weapon has been dropped, these facts shall be noted in the “Remarks” column and amplified on the back of the page, even if there is no ap-parent damage. The exposure of the weapon to an extreme condition shall be reported as a potentially hazardous incident and recorded. Additionally,shipboard GMRP stowage location shall be recorded.

NOTE: Within 24 hours after each entry, make a copy of this Transaction Log and forward to the appropriate address below:

Instructions

1 Enter the Serial Number and MK / MOD of the GMRP.2 Enter the date shipped, received, or stowed.3 Enter the Activitiy UIC.4 Enter the GMRP Condition Code.5 Enter the initials of the individual responsible for shipping/receiving.6 Enter the Humidity Level % reading from the Canister Humidity Indicator.7 Enter the GMRP container Serial Number.8 The following information shall be written in the Remarks block:

A. Enter “shipped” if transferring the GMRP to another activity. Enter “received” upon receipt from another activity.B. Enter the reason for transporation delays or discrepancies discovered during receipt inspection (including brokensecurity seals), or other signficant incidents.C. Enter shipboard stowage location (example: magazine or GMLS Cell #).D. If the Condition Code changes, enter the reason for the change and/or the defect code.

U.S. NAVY ADDRESS:Naval Surface Warfare Center Corona Division:Code PE 31P.O. Box 5000Corona, California 92878–5000

GERMAN NAVY ADDRESS:German Naval Office ML 522Kopernikusstrasse 118063 Rostock Germany


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RAM GMRP SHIPPING CONTAINER SECURITY SEAL RECORD 1. RAM GMRP SERIAL No. & MK / MODRAM GMRP SHIPPING CONTAINER SECURITY SEAL RECORD(Instructions are on the back of this page)

SEAL No. 1 (AFT) SEAL No. 2 (FWD)5. CONTAINER

6 REMARKS

2. SEAL No. 3. DATE 4. INITIAL 2. SEAL No. 3. DATE 4. INITIAL

5. CONTAINERSERIAL No. 6. REMARKS


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RAM GMRP SHIPPING CONTAINER SECURITY SEAL RECORD INSTRUCTIONS

Block

Security Seal Installation: This form will be filled out by all personnel who are responsible for loading GMRPs into the RAM GMRP shipping contain-er. To ensure the integrity of the GMRPs inside the shipping container, two (2) security seals shall be installed to the front right and left corners of eachshipping container. Whenever a shipping container is shipped or received, an entry shall be made in the GMRP logbook to record the condition of theshipping container security seals and a copy of this form shall be forward to the appropriate address below:

Instructions

1 Enter the Serial Number and MK / MOD of the GMRP.2 Enter the number stamped in the seal attached at the AFT and FWD ends of the container.3 Enter the date (month/day/year) the seal was installed on the container.4 Enter the initials or stamp of the person installing the seal.5 Enter the GMRP container serial number.6 Enter all Remarks. Enter specific seals found broken, circumstances, and specific steps taken to reestablish

seal integrity.

U.S. NAVY ADDRESS:COMMANDING OFFICERATTN: RAM PREFLIGHT ANALYSIS PROGRAMNaval Surface Warfare Center Corona Division:Code PE 31P.O. Box 5000Corona, California 92878–5000


Security Seal Inspections: If one or both of the security seals are found to be tampered with or broken, the following shall be performed: (1) U.S. NavyFleet: The Organizational/Shipboard Level shall perform a GMRP inspection as called out in the MRC Number R–14. (2) Weapon Stations: The Intermedi-ate Level shall perform a GMRP inspection as described in NAVSUP P-805/807.

Upon removal of security seals, draw a single line through the seal data. When new seals are installed, record the data as follows:


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RAM GMRP FIRING SHIP REPORT1. DATE PREPARED MONTH DAY YEAR

RAM GMRP FIRING SHIP REPORT(Instructions are on the back of this page)

MONTH DAY YEAR

/ /

2. MK / MOD 3. RAM GMRP SERIAL No. 4. ACTIVITY

UIC: SHIP NAME: HULL NO.

5. DEFICIENCIES: Indicate deficiencies as follows: Describe details under “FIRING SHIP REMARKS”

_______Misfire _______Hangfire _______DUD _______Missile Not Ready _______Other

Note: If the deficient RAM GMRP is being transferred, enter information in Transaction Log and forward copies of Transaction Log and shipping document to:

COMMANDING OFFICERATTN: RAM PREFLIGHT ANALYSIS PROGRAMNaval Surface Warfare Center Corona Division (PE31)P.O. Box 5000Corona, California 92878–5000

6. STATUS

DATE FIRED ____________________ DATE TIME GROUP OF FIRING MESSAGE ____________________

NOTE: If missile has been fired, return entire logbook and a copy of the firing message to:

COMMANDING OFFICERATTN: RAM PREFLIGHT ANALYSIS PROGRAMNaval Surface Warfare Center Corona Division (PE31)P.O. Box 5000Corona, California 92878–5000

7. FIRING SHIP REMARKS


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RAM GMRP FIRING SHIP REPORT INSTRUCTIONS

Block

When a RAM has been fired, this “RAM GMRP FIRING SHIP REPORT” form shall be completed and a brief unclassified description of the event shall be entered in the “FIRING SHIP REMARKS” block. This is in addition to the formal firing reports required by Type Commanders and localinstructions. After this form has been completed, the entire original logbook shall be forwarded to the appropriate address below:

Instructions

1 Enter the date prepared.2 Enter the MK / MOD of the GMRP.3 Enter the Serial Number of the GMRP.4 Enter the Activity UIC, Ship Name, and Hull No.5 Indicate the deficiency with a check mark.6 Enter the Status information.7 Enter the FIRING SHIP REMARKS.

U.S. NAVY ADDRESS:COMMANDING OFFICERATTN: RAM PREFLIGHT ANALYSIS PROGRAMNaval Surface Warfare Center Corona Division:Code PE 31P.O. Box 5000Corona, California 92878–5000




11-1-18

NOTE

MDD for RAM is RDD (Recertifica-tion Due Date).

f. The missile is expended.

11.1.16.2 The missile logbooks are electronically gen-erated at the AUR manufacture and consists of a

combined missile Configuration Summary Form (CSF)and missile log sheet, a logbook cover and anyapplicable safety tags. Anytime a missile is subjected toa Missile Re-issue Inspection, the logbook is updated inaccordance with each system requirements. This willallow for collection of Fleet maintenance data, inspec-tion findings, installation locations, etc.



11-2-i

CHAPTER 11.2

Organizational Level Maintenance

Table of Contents


11.2.1 General 11-2-1

11.2.2 Organizational Level (O-level) Maintenance 11-2-1

11.2.3 Missile Receipt and Inspection 11-2-1

11.2.4 Missile Preparation for Loading 11-2-1

11.2.5 Missile Loading 11-2-1

11.2.6 Postload Testing 11-2-1

11.2.7 Missile Downloading 11-2-1


11.2.9 Technical Bulletin 11-2-1

11.2.10 Logbook Maintenance 11-2-2

11.2.11 Explosive Handling Personnel Qualification and Certification (Qual/Cert) Program 11-2-2

11.2.12 Maintenance Training Requirements 11-2-2



11-2-1

CHAPTER 11.2

Organizational Level Maintenance

11.2.1 General. This chapter describes the surfacelaunched missile maintenance actions authorized to beperformed by Navy ships. Organizational level mainte-nance directly supports and maintains the weaponssystem, which consists of the launcher, surface missile,and associated interface items.

11.2.2 Organizational Level (O-level) Maintenance.Surface launched missiles O-level maintenance is thatmaintenance which is performed by Navy shipboardpersonnel on a day-to-day basis in support of itsoperations. All maintenance actions are performed inaccordance with approved Naval Sea Systems Command(NAVSEASYSCOM) technical manuals, MaintenanceRequirement Cards (MRC), and checklists that havebeen developed for each missile system and launchplatform.

11.2.3 Missile Receipt and Inspection. Organizationallevel personnel inspect each missile prior to loading toensure integrity. Missiles are inspected for dents, cracks,proper mating, and security of the assembly. Launcherinterface connectors must be inspected to ensure that theconnectors have dust covers and are clean and undam-aged. Missiles that do not meet inspection criteriashould be rejected and the supporting intermediatemaintenance activity notified.

11.2.3.1 Missile Sentencing Inspection (MSI). AnMSI is a visual external examination (screening) of theshipping container when a transfer of assets is accom-plished. An MSI can be performed in operation build-ings, segregation facilities, waterfront piers, or in anyapproved inspection area permitted by NAVSEA OP 5,Volume I, and NAVSEA SW020-AC-SAF-010. MSIprocedures have been developed for each individualmissile series and are contained in the NAVSUP P-805and NAVSUP P-807.

11.2.3.2 Missile Reissue Inspection (MRI). The MRIis designed to take maximum advantage of surfacelaunched missile Re-certification Due Dates (RDD). TheRDD is the date a surface launched missile or compo-nent must be returned to the Depot for testing. TheRDD is established by adding Serviceable In-ServiceTime (SIST) to the latest test date, but may not exceedthe date that an internal component’s service life willexpire. The SIST is that period of time a surfacelaunched missile may remain in operational use and/or

storage before its internal electronic or mechanicalcomponents require a test or maintenance action tovalidate suitability for operational use. The SIST clockstarts with the Date of the Last Test (DOLT) performedby an authorized activity. Service life is the period oftime a missile explosive component may remain inoperation use and/or storage. The service life starts withthe date of manufacture. Missiles failing the MRI arereturned for required repair actions before reissue.

11.2.4 Missile Preparation for Loading. After receiv-ing the missile and ensuring proper operational configu-ration, the missile is prepared for loading. Proceduresvary depending on the system to be loaded. Specificprocedural responsibilities are outline in the applicableauthorized Maintenance Requirement Card (MRC).

11.2.5 Missile Loading. During missile loading, O-level personnel install weapons in the launcher. Loadingevolutions are performed by designated load teampersonnel in accordance with appropriate MRC’s. Referto the applicable missile system MRC for specificloading procedural requirements.

11.2.6 Postload Testing. A qualified O-level operatorperforms an inventory status test after loading to ensureproper interface between the launcher and the missile.Missile-in-launcher tests are performed to improveconfidence that the weapon, as well as the launchplatform will function properly. Procedures for testingare contained in the applicable authorized weaponsystem manual.

11.2.7 Missile Downloading. Downloading is the pro-cess of removing unexpended missiles and any residualhardware resulting from a missile expenditure from thelauncher. It is conducted in accordance with applicableMRCs, technical manuals, and checklists.

11.2.8 Deficiency Reporting. Deficiency reports areinitiated at the O-level when a discrepancy is discoveredduring the performance of any of the assigned O-levelmaintenance actions. Deficiency reporting proceduresare contained in Volume I, Chapter 4.6 of this instruc-tion.

11.2.9 Technical Bulletin. Organizational level person-nel are responsible for assuring that Notice of Ammuni-tion Reclassifications (NAR) and technical bulletinsaddressing weapons systems are complied with.



11-2-2

11.2.10 Logbook Maintenance. To facilitate missilelogbook maintenance, O-level personnel are responsiblefor providing complete and concise missile information,such as launcher/cell loading location, condition code,noted damage to the missile, missile failure, expendi-ture, etc. and provide completed copies as describedwithin the weapons system’s logbook (see Figure 11-1-5of this Section for a sample Missile logbook).

11.2.11 Explosives Handling Personnel Qualificationand Certification (Qual/Cert) Program. Organization-al level personnel involved with the inspection andloading operation of surface launched missiles must be

trained, qualified, and certified to perform these mainte-nance action in accordance with the requirements ofOPNAVINST 8020.14/MCO P8020.11.

11.2.12 Maintenance Training Requirements. Main-tenance training is a continuous and ongoing process,conducted to ensure that personnel who operate, main-tain, and support weapons systems and associatedequipment are qualified to perform their respectivefunctions. Formal and On-The-Job-Training (OJT), formissiles processed at O-level maintenance, may beaugmented through the use of Engineering TechnicalSpecialist.



11-3-i

CHAPTER 11.3

Intermediate Level Maintenance

Table of Contents


11.3.1 General 11-3-1

11.3.2 Intermediate Level (I-level) Maintenance Responsibilities 11-3-1

11.3.3 Missile Receipt and Inspection 11-3-2


11.3.5 Repackaging 11-3-2

11.3.6 Crossdecking Requirements 11-3-2

11.3.7 Re-certification and Repair 11-3-2

11.3.8 Explosive Handling Personnel Qualification and Certification (Qual/Cert) Program 11-3-2

11.3.9 Maintenance Training Requirements 11-3-2



11-3-1

CHAPTER 11.3

Intermediate Level Maintenance

11.3.1 General. This chapter describes the surfacelaunched missile maintenance actions assigned to NavalWeapon Stations and Shipboard Weapons Departments.Intermediate level maintenance enhances and sustainsthe combat readiness and mission capability of sup-ported activities by providing quality and timely missilesupport at the closest location with the lowest practicalexpenditure.

11.3.2 Intermediate Level (I-level) Maintenance Re-sponsibilities. Surface launched missile maintenancemay be assigned to the intermediate level. All mainte-nance actions are to be performed in accordance withapproved technical manuals including the NAVSUPP-805 and P-807, system specific manuals, and StandardOperating Procedures (SOPs), which have been devel-oped for each surface launched missile system.

11.3.2.1 Receipt, Segregation, Storage, and Issue(RSSI). RSSI actions required to support maintenance ofsurface launched missiles processing is accomplished inaccordance with NAVSUP P-805/P-807. Inspections areconducted on all surface launched missile containersreceived. Containers are inspected for proper markingand tagging and any possible damage. A container thatis dented, crushed, punctured, or appears to be the resultof damage to the containers, the proper authority shallbe notified for appropriate deficiency reporting anddisposition instructions.

11.3.2.2 Storage and Handling. Intermediate levelmaintenance is responsible for surface launched missilestorage, which includes deep stowage, and ready servicestorage of surface launched missiles issued to theOrganizational level to satisfy operational requirements.All handling, storing and transporting will be performedutilizing authorized equipment.

11.3.2.3 Cleaning. Cleaning consists of the removal ofcontaminants such as dirt, grease, salt spray, oil andother elements that aid corrosion. Cleaning requires aknowledge of the materials and methods needed toremove each of these contaminants. As a general rule,the mildest cleaning methods available that will workeffectively is used. The NAVSEA corrosion manualaddresses specific procedures to be followed for eachtype of metal to be cleaned, as well as the propermaterial to be used.

11.3.2.4 Preservation and Painting. Some surfacelaunched missiles are subject to preservation andpainting procedures as part of I-level maintenance.Intermediate level maintenance personnel clean allsurfaces before applying the coating, ensuring that nocleaning material residue is trapped in fasteners, points,etc. These areas can become contaminated and corrosionwill occur. While materials such as oils and sealants actas a preservative, painting is generally the mosteffective means of preserving metal. Painting is limitedto a maximum of 25 percent of any section orcomponent. Painting requirements that exceed thiscriteria must be performed at the Depot level in anauthorized painting area.

11.3.2.5 Assembly and Test. Under the All-Up-Round(AUR) concept, surface launched missile assembly andtesting is not normally performed by I-level mainte-nance activities.

11.3.2.6 Logbook Maintenance. To facilitate missilelogbook maintenance, I-level personnel are responsiblefor providing complete and concise missile information,such as condition code, noted damage to the missile,missile failure, etc. and provide completed copies asdescribed within the weapon system’s logbook (seeFigure 11-1-5 of this Section for a sample logbook).

11.3.2.6.1 Logbook Repository. The Naval SurfaceWarfare Center (NSWC), Corona, CA has been desig-nated as the repository for all surface launched missilelogbook information. Permanent files are periodicallyupdated by maintenance data system input and are kepton each surface launched missile. Activities that receiveincomplete or missing surface missile logbooks andrecords, should contact the NSWC, Corona, CA for acurrent copy of the logbook. Missing missile logbookscan be obtained by downloading them directly from awebsite by personnel with approved access for theirtype/model/series missile.

11.3.2.7 Shipping. Prior to shipment, surface launchedmissiles and their associated hardware (including log-books) are packaged in accordance with the applicableauthorized technical manual. Containers are sealed,marked, and tagged. All missile transactions and statuschanges are reported and tracked through OrdnanceInformation System (OIS).



11-3-2

11.3.2.8 Technical Directives. Intermediate level ord-nance personnel are responsible for assuring that Tech-nical Directives (TDs) such as Notice of AmmunitionReclassifications (NARs) directed to that level arecomplied with.

11.3.3 Missile Receipt and Inspection. Intermediatelevel personnel inspect surface launched missiles andcontainers for dents, cracks, humidity level, M/RDD,etc. Missiles that do not meet inspection criteria shouldbe repaired or rejected if Beyond Capable Maintenance(BCM) for the intermediate maintenance activity andthe appropriate personnel notified.

11.3.3.1 Missile Sentencing Inspection (MSI). An MSIis a visual external examination (screening) of theshipping container when a transfer of assets is accom-plished. An MSI can be performed in operation build-ings, segregation facilities, waterfront piers, or in anyapproved inspection area permitted by NAVSEA OP 5,Volume I, and NAVSEA SW020-AC-SAF-010. MSIprocedures have been developed for each individualmissile series and are contained in the NAVSUP P-805and NAVSUP P-807.

11.3.3.2 Missile Reissue Inspection (MRI). The MRI isdesigned to take maximum advantage of surfacelaunched missile Re-certification Due Dates (RDD). TheRDD is the date a surface launched missile or compo-nent must be returned to the Depot for testing. TheRDD is established by adding Serviceable In-ServiceTime (SIST) to the latest test date, but may not exceedthe date that an internal component’s service life willexpire. The SIST is that period of time a surfacelaunched missile may remain in operational use and/orstorage before its internal electronic or mechanicalcomponents require a test or maintenance action tovalidate suitability for operational use. The SIST clockstarts with the Date of the Last Test (DOLT) performedby an authorized activity. Service life is the period oftime a missile explosive component may remain inoperation use and/or storage. The service life starts withthe date of manufacture. Missiles failing the MRI arereturned for required repair actions before reissue.

11.3.4 Deficiency Reporting. Deficiency reports areinitiated at the I-level when a discrepancy is discovered

during the performance of any of the assigned I-levelmaintenance actions. Deficiency reporting proceduresare contained in Volume I, Chapter 4.6 of this instruc-tion.

11.3.5 Repackaging. During the MSI, non-serviceableAUR missiles may be repackaged as necessary to ensureserviceable AUR missiles remain available for issue atthe WPNSTA level. AUR missiles with the same orsimilar RDDs are containerized together (depending onsystem) to take maximum advantage of the RDD and toprovide for economical management of the workloadand assets. The desiccant, humidity indicator, andpackaging material are replaced as necessary. Re-stencil-ing and retagging operations are performed and theassets are then sealed. Repacking operations shall be inaccordance with the appropriate technical manuals.

11.3.6 Crossdecking Requirements. Upon completionof the deployment, surface launched missiles whichmeet the inspection requirements specified for thespecific surface launched missile system may be trans-ferred (crossdecked) to the relieving ship when properlydirected.

11.3.7 Re-certification and Repair. Upon expirationof the M/RDD or upon determination that maintenanceis beyond the I-level, surface launched missiles must bereturned to a depot maintenance activity for repair andre-certification before reissue.

11.3.8 Explosives Handling Personnel Qualificationand Certification (Qual/Cert) Program. Intermediatelevel personnel involved with the maintenance ofsurface launched missiles must be trained, qualified, andcertified to perform these maintenance actions inaccordance with the requirements of OPNAVINST8020.14/MCO P8020.11.

11.3.9 Maintenance Training Requirements. Mainte-nance training is a continuous and ongoing process,conducted to ensure that personnel who operate, main-tain, and support weapons systems and associatedequipment are qualified to perform their respectivefunctions. Formal and On-The-Job-Training (OJT), maybe used for surface launched missiles processed atI-level maintenance activities.



11-4-i

CHAPTER 11.4

Depot Level Maintenance

Table of Contents


11.4.1 General 11-4-1

11.4.2 Industrial and Depot Level (D-level) Maintenance 11-4-1

11.4.3 Missile Sentencing Inspection (MSI) 11-4-1

11.4.4 Repackaging 11-4-1

11.4.5 Material Received for Further Transfer 11-4-1

11.4.6 Paint Touchup and Cleaning 11-4-1

11.4.7 All-Up-Round Missile and Section Testing and Test Equipment Certification 11-4-2

11.4.8 Failure Verification 11-4-2

11.4.9 Removal and Replacement of Missile Sections 11-4-2


11.4.11 Warranty Actions 11-4-2

11.4.12 Technical Directives 11-4-2

11.4.13 Logbook Maintenance 11-4-2

11-4-14 Logbook Repository 11-4-2

11-4-15 Explosives Handling Personnel Qualification and Certification (Qual/Cert) Program 11-4-2

11-4-16 Maintenance Training Requirements 11-4-2



11-4-1

CHAPTER 11.4

Depot Level Maintenance

11.4.1 General. This chapter describes the surfacelaunched missile maintenance actions authorized fordepots maintenance activities and other industrial levelmaintenance establishments. Depot level maintenancesupports weapons and end item systems in a state ofoperational readiness consistent with the mission re-quirements of the operating forces at the least total cost.Depot level functions are carried out in industrialestablishments through the use of more extensivefacilities, skills, and materials or in the field bypersonnel from such establishments.

11.4.2 Industrial and Depot Level (D-level) Mainte-nance. Depot level maintenance responsibilities as-signed to organic depots and commercial contractorsinclude those actions required to maintain or restore theinherent design service levels of performance, reliability,and material condition. Depot level maintenance coversthe complete rebuilding through reclamation, refurbish-ment, overhaul, repair, replacement, adjustment, servic-ing, and replacement of consumables. Depot mainte-nance actions are performed in accordance withapplicable approved technical manuals and Depot Stan-dard Operating Procedures (SOPs). Specific maintenanceactions assigned to depots and commercial contractorsinclude the following:

a. All maintenance and modification actions nec-essary for the rework and repair of the surface launchedmissile sections and components under their cognizance.

b. The manufacture of items and component partsotherwise not available when that action is deemed nec-essary and is appropriately authorized.

c. The provision of support services functions, in-cluding professional engineering, technology, and cal-ibration services, and field teams to support lower levelmaintenance when required and directed.

11.4.3 Missile Sentencing Inspection (MSI). The MSIis a visual external examination of palletized All-Up-Round (AUR) missile and components returned to adepot maintenance activity. The purpose of the missilesentencing inspection is to verify the hardware andcondition of the assets received prior to induction intothe depot.

11.4.4 Repackaging. During the missile incomingsentencing inspection, serviceable All-Up-Round (AUR)missiles may be repackaged as necessary to ensureserviceable AUR missiles are returned to the WPNSTAlevel. AUR missiles with the same or similar Re-sen-tencing Due Dates (RDDs) are containerized together(depending on system) to take maximum advantage ofthe RDD and to provide for economical management ofthe workload and assets. The desiccant, humidityindicator, and packaging material are replaced asnecessary. Re-stenciling and retagging operations areperformed and the assets are then sealed. Repackagingoperations shall be in accordance with the appropriatetechnical manuals.

11.4.5 Material Received for Further Transfer. Con-tainerized AUR surface launched missiles and surfacelaunched missile sections or components, properlystenciled and tagged, sent to a depot facility need notbe inspected by the depot except for safety consider-ations prior to temporary storage. If, during thatinspection it is determined that maintenance actions arerequired on the container to assure safe and protectedtransfer of the material, the missile must be repackagedin an authorized, undamaged container in accordancewith approved technical manuals.

11.4.6 Paint Touchup and Cleaning.

11.4.6.1 Cleaning consists of the removal of contami-nants such as dirt, grease, salt spray, oil, and otherelements that aid corrosion. Cleaning requires knowl-edge of the materials and methods needed to removeeach of these contaminants. As a general rule, themildest cleaning method available that will workeffectively is used. The NAVSEA corrosion manualaddresses the specific procedures to be followed foreach type of metal to be cleaned, as well as the propermaterial to be used.

11.4.6.2 Painting at depot facilities is unlimited.Maintenance personnel will clean all surfaces beforeapplying the paint coating, ensuring that no cleaningmaterial residue is trapped in fasteners, points, etc.;such areas can become contaminated easily and corro-sion will occur. While material such as oils and sealantsact as a preservative, painting is generally the mosteffective means of preserving metal.



11-4-2

11.4.7 All–Up–Round Missile and Section Testingand Test Equipment Certification. Depot and contrac-tor facilities perform electrical tests on AUR missiles ormissile sections and components to verify compliancewith test specification parameters. Testing is accom-plished on NAVSEA certified surface launched missiletest equipment.

11.4.8 Failure Verification. Surface launched missilesthat fail electrical test shall be re-checked to verify theindicated failure. Failures will be documented.

11.4.9 Removal and Replacement of Missile Sec-tions. Missile sections or components that are removedfrom an AUR as a result of inspection, testing, ortroubleshooting are replaced by a serviceable section.The faulty section or component is then set aside forfurther screening pending evaluation of the failure andcost effectiveness of repair. Interchangeability of missilesections or components will be in accordance with theapplicable technical manual. When the missile configu-ration is changed by the addition or deletion of asection or component, the appropriate logbook’s mainte-nance data system configuration summary form mustalso be annotated. Separate forms apply to each missilesystem. Figure 11-1-5 in this Section shows a samplelogbook containing the configuration summary form.

11.4.10 Deficiency Reporting. Deficiency reports areinitiated at the Organizational level when a discrepancyis discovered during the performance of any of theassigned Organizational level maintenance actions.Deficiency reporting procedures are contained in Vol-ume I, Chapter 4.6 of this instruction.

11.4.11 Warranty Actions. The COMNAVSEASYS-COM warranty program will be discussed later.

11.4.12 Technical Directives. Depot level personnelare responsible for assuring that technical directivessuch as Notice of Ammunition Reclassifications (NAR)s

are complied with. They also assist in the developmentand verification of technical directives that ultimatelyaffect them. This assistance includes engineering changeproposal review, development of the resulting technicaldirective, and verification prior to implementation of thetechnical directive.

11.4.13 Logbook Maintenance. To facilitate missilelogbook maintenance, intermediate level personnel areresponsible for providing complete and concise missileinformation, such as condition code, noted damage tothe missile, missile failure, etc. and provide completedcopies as described within the weapon system’s log-book.

11.4.14 Logbook Repository. The Naval SurfaceWarfare Center (NSWC), Corona has been designated asthe repository for all surface launched missile logbookinformation. Permanent files are periodically updatedby maintenance data system input and are kept on eachsurface launched missile. Activities that receive incom-plete or missing surface missile logbooks and records,should contact the NSWC, Corona for a current copy ofthe logbook. Missing missile logbooks can be obtainedby downloading them directly from a web–site bypersonnel with approved access for their type/model/se-ries missile.

11.4.15 Explosives Handling Personnel Qualificationand Certification (Qual/Cert) Program. Depot levelpersonnel involved with the maintenance and handlingof surface launched missiles must be trained, qualified,and certified to perform maintenance actions in accor-dance with the requirements of OPNAVINST 8020.14/MCO P8020.11.

11.4.16 Maintenance Training Requirements. Main-tenance training is a continuous and ongoing process,conducted to ensure that personnel who operate, main-tain, and support weapons systems and associatedequipments are qualified to perform their respectivefunctions.



12-i

SECTION 12

Airborne Mine Neutralization Systems

Table of Contents


12.1 SEAFOX 12-1-1

12.2 Rapid Airborne Mine Clearance System (RAMICS) 12-2-1



12-1-i

CHAPTER 12.1

SEAFOX

Table of Contents


12.1.1 Introduction 12-1-1

12.1.2 Maintenance Plan Summary 12-1-2

12.1.3 Training Requirements Identified During Acquisition 12-1-3

12.1.4 Intergrated Logistics Support (ILS) Elements 12-1-3



12-1-1

CHAPTER 12.1

SEAFOX

12.1.1 Introduction. The AN/ASQ-232 (SEAFOX)provides neutralization of shallow and deep-watermines including bottom, close-tethered and in-volumemines which have been located by the AN/ASQ-14Asonar detecting set; AN/ASQ-24 detecting set, minehunting; AN/AQS-20A, sonar mine detection set and/or other Mine Countermeasures (MCM) assets. Thedestruction of mines is achieved utilizing a shapedcharge warhead integrated into the Destructor, MineNeutralizer Airborne, EX 62 MOD 0, hereafter re-ferred to as the Expandable Neutralizer. The AN/ASQ-232 consists of the Cosole/Seat Pallet Assembly,In Water Assembly (IWA), either an ExpendableNeutralizer or Destructor, Mine Neutralization Air-borne, Training, EX 63 MOD 0, hereafter referred toas the Training Neutralizer, and interconnect cables.The system requires the use of the Airborne MineCountermeasures (AMCM) Precise Navigation System(PNS); various pieces of Peculiar Support Equipment(PSE); the AMCM Single-Winch II, RMU-38/A,hereafter referred to as the Single Winch II; the WinchModification Kit (WMK), the Launch Box Assembly(LBA), the Davit/Sheave Assembly (DSA), and theIWA Cradle, all of which are AMCM MissionInterface Removable (MIR).

NOTE

All equipment listed below is consid-ered aircraft equipment with the ex-ception of the Expandable and train-ing Neutralizers which are ordnanceequipment.

12.1.1.1 Console/Seat Pallet Assembly. The console/seat pallet assembly consists of the following subas-semblies:

d. The Operator Control Console (OCC) Assem-bly. This is a single bay console that is mounted tothe pallet. Four lifting eyes are available for liftingthe OCC on and off of the pallet. The OCC receives,processes, records and displays data form and issuescommand to the Neutralizer. This data is used fordirecting the Neutralizer to the mine target using theTrack Point II Plus (TPII+) Acoustic Tracking System

(ATS)and mine hunting sonar. Additionally, the OCCserves as the platform for conducting the OCC POST,OCC Built-In-Test (BIT) and Neutralizer functiontests and provides the interface with the MH-53E he-licopter and AMCM PNS. The primary componentsof the OCC are:

(1) The OCC computer system is a PersonalComputer (PC) based system, which runs guidance,sonar and server nodes. This system is located in thelower access compartment of the OCC.

(2) The display panel consists of four10.4-inch, color, Liquid Crystal Display (LCD)screens: the mission display screen, the homing sonardisplay screen, the touch screen and the cameradisplay screen.

(3) The Operator Control Panel (OCP) is theprimary work station used by the operator for com-plete manual control of Neutralizer heading, depth,pitch and speed control via the console joystick andindividual speed and pitch controls. A power on/offcontrol switch, dimmer control, lamp fault indicationpanel and mechanically secured Neutralizer fire control(detonation) switch are also mounted on the panel.Additionally, the OCP houses a Remote AccessTerminal (RAT) for sonar operation and target designa-tion.

e. The pallet seat assembly includes two opera-tor seats and the operator control counsole.

12.1.1.2 In Water Assembly (IWA). The IWA iscylindrically shaped and has a lift bar on the topmidsection, neutralizer motor release assemblies on thebottom forward and aft, a hydrophone, tray assembly,and three fins mounted on the aft section; onestarboard, one vertical and one port. The lift bar is theconnecting point for the umbilical cable to theMH-53E helicopter. Neutralizer motor release assem-blies provide connecting points for suspending theexpendable or training neutralizer. The motor releaseassembly, spool is mounted on the underside of thestarboard fin and has a spool clamp subassemblyattached to it. The hydrophone and tray assemblies are



12-1-2

used for tracking operations form the MH-53E heli-copter.

12.1.1.3 Expendable Neutralizer. The expendableneutralizer is a fiber-optic, cable guided, self propelledmine neutralizer used to destroy moored and bottommines. It incorporates the launch kit, B/C-spool andB-spool cable, sensors for mine relocation and identifi-cation, propulsion, and control subsystems and shapedcharge warhead. Mines are neutralized using theshaped charge warhead or by punching a hole in thecasing of the mine which renders it inoperative.Expendable neutralizers are used for only one mission.After activation of the Safe and Arming Unit (SAU),the warhead arming process is not reversible whichprevents safe recovery. If a target is not acquired orthe mission is aborted, either warhead sterilization orwarhead self-destruction is initiated depending on thestage of the arming sequence.

12.1.1.4 Training Neutralizer. The training neutralizeris a fiber-optic cable guided, self propelled mineneutralizer used for training crews to detect andneutralize moored and bottom mines. It is positivelybuoyant, recoverable and reusable. The trainingneutralizer contains a transponder/responder, pressuresensor, compass module, SONAR, echo sounder,vertical thrusters, electronic try assembly, battery set,stabilizer fins, A-spool compartment, propulsion as-semblies, camera and spotlight assembly, lead ballast(to compensate for the removal of the SAU andwarhead), launch kit, B/C-spool and B-spool cable.

12.1.1.5 Interconnecting Cables. The interconnectingcables are used to connect the AN/ASQ-232 subsys-tems with the MH-53E helicopter.

12.1.2 Maintenance Plan Summary. The mainte-nance concept for the AN/ASQ-232 utilizes the threelevels of maintenance concept as outlined in thisChapter. Maintenance functions for the Neutralizersare currently allocated to the Organizational level(O-level), Intermediate level (I-level), and Depot level(D-level) maintenance. Parts of the system are exposedto the saltwater environment, therefore, vigorouscorrosion control inspection and treatment proceduresare essential maintenance actions for both organiza-tional and depot levels of maintenance.

12.1.2.1 O-level Maintenance. This level of mainte-nance is to be performed on the AN/ASQ-232 in shopspaces. Maintenance includes troubleshooting to theWeapons Replaceable Assembly (WRA), Shop Re-

placeable Assembly (SRA) and Sub-Shop ReplaceableAssembly (SSRA) level and preventative (scheduled)maintenance. Faulty WRAs and SRAs will be sent tothe Fleet Support Team (FST) for repair or replace-ment. Post operation system corrosion control includescleaning and washing down of all components andPSE. O-level maintenance includes the followingpreventative and corrective (unscheduled) maintenance.

a. Preventative Maintenance. Maintenance nor-mally occurs between missions and includes pre andpost mission inspections and Periodic MaintenanceRequirements Manual (PMRM) tasks.

b. Corrective Maintenance. This maintenance,performed by O-level technitians, includes replace-ment of WRA’s, SRA’s SSRA’s, cleaning and reseat-ing of loose or dirty connectors, filters and “O”-rings.

12.1.2.2 I-level Maintenance. This level of mainte-nance is performed aboard ship (afloat) or designatedAircraft Intermediate Maintenance Departments(AIMDs) ashore. Currently, I-level maintenance taskson this system include requisition, receipt, storage,assembly, delivery and issuance of ordnance; breakout,strike up and strike down from/to magazines; visualinspection of ordnance and containers (special, condi-tional and breakout); corrosion control treatment andrepainting, compliance with Notices of AmmunitionReclassifications (NARs) and Technical Directives(TD) and All-Up-Round (AUR) testing. I-level person-nel (Navy Enlisted Code [NEC] 6801) will handlestated I-level maintenance. In addition, I-level person-nel (NEC 8391 and AOs) will remove and replaceTraining Neutralizer propellers and maintain NiCadbatteries when in their custody. The AIMD personnelwill store and maintain NiCad batteries when in theircustody. The Expendable Neutralizer is considered anAUR.

12.1.2.3 D-level Maintenance. NSWC Panama City(PC) FST personnel perform D-level maintenance.Systems and components are returned to D-level forrepair. Depot NSWC PC will perform ordnancecertification of the DSA, the IWA, the umbilical cable,the deck transport assembly and the hand transportassembly every four years. The FST is the designatedoverhaul authority for the expendable neutralizer.Standard Depot Level Maintenance (SDLM) is sched-uled for the expendable neutralizer every three years.This SDLM cycle is based on the age and usagehistory of the system. Units shipped for SDLMinduction must be in an operational Non Ready For



12-1-3

Issue (NRFI) status. Units received in an NRFIcondition will be returned to the squadron.

12.1.3 Training Requirements Identified DuringAcquisition.

12.1.3.1 Navy Training Plan (NTP). The NTP is aproduct of the acquisition process. It is an officialstatement of billets, personnel, and training resourcerequirements needed to support the introduction andlife-cycle operational use of an ordnance item orweapons system. The NTP assigns responsibilities forplanning, programming, and implementing actionsnecessary to accomplish the following:

a. Ensure coordination of billets, personnel, mil-itary construction, training support, and training plan-ning concurrently with the ordnance item or weaponssystem development and production.

b. Provide efficient and adequate training pro-grams phased with initial ordnance item or weaponssystem introduction and subsequent modifications.

12.1.3.2 Training Aids. Another important trainingissue during the acquisition phase is identifyingtraining aid requirements and including them in theacquisition plan. Training aids are covered in the NTP.However, occasionally an ordnance item or weaponssystem will be introduced into the system, or anexisting one modified, which does not result in thedevelopment or update of an NTP. In these cases theneed for new training aids must still be considered.

12.1.3.3 Training Aid Users. While developing anacquisition plan for a new ordnance item or weaponssystem, the following schools at a minimum need tobe consulted to determine if any training aid require-ments exist to provide proper training to the Fleet onthe new item:

a. Gunners Mate (GM) School,Service Schools Command(SERVSCOLCOM)Great Lakes, IL 60088-5400

b. Fleet Combat Training Center Atlantic(FCTCL), Dam Neck1912 Regulus Ave.Virginia Beach, Va 23461-2098

c. Navy School, Explosive Ordnance Disposal(NAVSCOLEOD)Eglin AFB, FL 32542-6009

d. Defense Ammunition CenterAttn: SMAAC-DO1 C Tree RoadMcAlester, OK 74501-9054

12.1.4 Integrated Logistics Support (ILS) Ele-ments. Supply Support. Naval Inventory ControlPoint, Mechanicsburg (NAVICP-M), Pennsylvania andthe Naval Operational Logistics Support Center, Me-chanicsburg (NOLSC-M), Pennsylvania provide tradi-tional supply support. The interim support period willexist from the Initial Operational Capability (IOC)date until the Material Support Date (MSD). Interimspares will be located at NSWC PC. NAVICP-M hasbuilt the interim preliminary Allowance Parts List(APL) and preliminary Allowance Equipage List(AEL) to support the equipment. The 0-COGs current-ly assigned to the Interim Supply Support Plan (ISSP)will migrate to 7E and 1H 60 days prior to MSD.

12.1.4.1 Training. Formal operator and maintenancetraining is not required for support of the AN/ASQ-232. The following is a list of recommendedtraining:

a. Initial operator and maintenance training.

b. Follow-on training for operator and mainte-nance personnel.

c. Unit-level training is conducted for Fleet per-sonnel by the FST at the Fleet location as required.

d. Ordnance handling and certification trainingwill be required to maintain an ordnance qualificationcertification program as outlined in OPNAVINST8020.14/MCO P8020.11 and will be a joint effortbetween NSWC PC and COMNAVSEACBTWING-LANT. Each squadron will be responsible for qualify-ing and certifying weapons load teams.

12.1.4.2 Facilities Requirements. Facilities necessaryto support the AN/ASQ-232 at the O-level and I-levelinclude existing weatherproof storage and electronicshop space for conducting maintenance. A SpecializedRepair Facility (SRF) is required for the expendableneutralizer. Facility analysis of industry and govern-ment team facilities will be accomplished prior toFleet introduction to assess facilities for follow-onsupport, maintenance and material distribution.



12-1-4

a. Shore-based facilities for maintenance andstorage of the AN/ASQ-232 and its PSE and MIRsare adequate. Classroom training facilities are ade-quate for AN/ASQ-232.

b. Ship-based and non-CONUS facilities.AMCM squadrons receive limited AIMD supportfrom aviation-type ships and overseas shore facilities.The stowage location is as follows:

Containerized/Bare Weapon Stowage Location

LHA–1 Class Number 9 Upper Cargo/Weapons Magazine or asotherwise designated byWeapons Officer.

LHD–1 Class Number 4 or Number 5Upper Cargo/WeaponsMagazine or as otherwisedesignated by WeaponsOfficer.

LPD–4 Class Cargo/Weapons Magazineas designated by WeaponsOfficer.

12.1.4.3 Manpower skills and skill levels to supportoperational and maintenance aspects of the AN/

ASQ-232 are adequate. Refer to the Manpower Analy-sis Report for the MH-3H helicopter and AN/ASQ-232Airborne Mine Neutralization System dated July 19,2004.

12.1.4.4 Packaging, Handling, Shipping and Trans-portation (PHS&T). The AMNS equipment is pack-aged and shipped In Accordance With (IAW) MIL-STD-129P, Marking Military Equipment for Shippingand Storage. Unique Identification markings will beIAW MIL-STD-130L, Identification Marking of U.S.Military Property. Both Neutralizers use the samestorage container (P/N 34952). The remaining compo-nents (non-ordnance) and support equipment for eachsystem are stored in three separate storage containers:Part Numbers: 34857 (container 1), 34860 (container2), and 34863 (container 3). The AMNS System willbe preserved IAW Naval Air Systems CommandInstruction (NAVAIR) 17-1-125, Support EquipmentCleaning, Preservation and Corrosion Control.

12.1.4.5 Plan Changes. Recommended changes forthis system will be submitted to the Program Execu-tive Officer, Mine and Undersea Warfare, WashingtonNavy Yard, 1333 Isaac Hull Avenue, S.E. Building201, 4th Floor, Washington, DC 20376; with copy toAMCM Fleet Readiness Fleet Support Team, NavalSurface Warfare Center, 110 Vernon Avenue, PanamaCity, FL 32407-7001, ATTN: Code A22.



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CHAPTER 12.2

Rapid Airborne Mine Clearance System (RAMICS)

Table of Contents


12.2.1 Rapid Airborne Mine Clearance System (RAMICS) 12-2-1

12.2.2 Physical and Functional Description 12-2-1

12.2.3 Maintenance Concept 12-2-1

12.2.4 Built-In-Test (BIT) Design 12-2-2

12.2.5 Reliability and Maintainability 12-2–2

12.2.6 Support Equipment Requirements. 12-2-2

12.2.7 Manpower Skills and Facility Requirements 12-2-2

12.2.8 General Training Requirements 12-2-3

12.2.9 Training Sources 12-2-3

12.2.10 Schoolhouses 12-2-3



12-2-1

CHAPTER 12.2

Rapid Airborne Mine Clearance System (RAMICS)

12.2.1 Rapid Airborne Mine Clearance System(RAMICS). The RAMICS (AN/AWS-2) is a non–towed airborne mine neutralization system that isoperated from an MH-60S Organic Airborne MineCountermeasure (OAMCM) helicopter and deployedfrom the Littoral Combat Ship (LCS) in the CarrierStrike Group (CSG) and Expeditionary Strike Group(ESG). It provides a rapid response clearance capabili-ty against near-surface and surface (floating) mooredmines that have been detected, classified, and localizedby the Airborne Laser Mine Detection System(ALMDS) or other mine hunting systems.

12.2.2 Physical and Functional Description. TheRAMICS Pod Subsystem consists of an EnvironmentalControl System (ECS); Targeting and Fire ControlSubsystem (TFCS); Pod Housing Subsystem (PHS)(Government Furnished Equipment (GFE)); Pod Pres-surization Subsystem (PPS); the Gun Subsystem,which is comprised of a Gun and Turret with NorthropGrumman Corporation (NGC) supplied collimator.

c. RAMICS uses an electro-optic Light Detect-ing and Ranging (LIDAR) system to reacquire a tar-get and aim the Gun Subsystem (GS). The gun is aMK44 30mm gun that uses the Munition Element(ME) MK 258 Mod 1 Armor Piercing Fin StabilizedDiscarding Sabot Tracer (APFSDS-T). This projectileis stable during air flight, successfully penetrates thesurface of the water, and supercavitates while in thewater, which greatly reduces the drag and improvesunderwater flight performance.

d. The GS uses the MK 44 Bushmaster Cannonthat is a chain driven automatic gun that fires a30mm munition. This gun is also slated to be used onthe AAAV and LPD-17 and is capable of firing pro-jectiles with high kinetic energy and high accuracybut is relatively light weight. The munition that willbe used by RAMICS is a modification of the 30mmMK 258 Mode 0 APFSDS-T. The RAMICS version isdesignated MK 258 Mod 1 APFSDS-T. The nose ofthe projectile is modified (blunted) so that it gener-ates a water cavity the remainder of the penetratorflies in. This phenomenon is termed supercavitationand allows the projectile to reach the required depths

with sufficient kinetic energy to penetrate the minecasing and neutralize the mine by deflagration, deto-nation or sinking. The fins of the penetrator providestabilization in air and water.

e. The turret was developed specifically forRAMICS. It is capable of pointing the gun with highaccuracy and providing a significant recoil reduction(from more than 7000 lbs. to less than 4000 lbs.)while being lightweight and compact. The low recoilallows the gun to be mounted on the helicopter with-out risk of structural damage. The combination ofgun, turret and munition provides RAMICS with thecapability to fire high-energy projectiles at a minetarget with high accuracy and high probability of neu-tralization.

12.2.3 Maintenance Concept. The RAMICS pod hasa two-level Maintenance Concept (Organizational toDepot level (O-D). The RAMICS gun system willhave three levels of maintenance. (O-Intermediate(I)-D).

12.2.3.1 The pod two level concept includes removaland replacement of the RAMICS Weapon ReplaceableAssembly (WRA) at the O-level with follow-on repairto be completed at the Depot. The two level mainte-nance concept described herein is based on thepreliminary Level of Repair Analysis (LORA) results.A two-level Maintenance Concept is the most costeffective manner of minimizing the Life Cycle Costs(LCC) while maintaining the specified system readi-ness objectives. The Maintenance Concept associatedwith the RAMICS adheres to the requirements of theStatement Of Work (SOW), and the Concept ofOperations for the MH-60S Anti-Mine Warfare Opera-tions In the Battle Group.

NOTE

For the purpose of this document,the following definitions will be usedwhen discussing the system hierar-chy:



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a. The WRAs are the AN/AWS-2 enditem, the Gun Subsystem, the Bore-sight Laser and the Collimator.

b. The Shop Replaceable Assemblies(SRAs) are the subassemblies of theWRAs: Laser Assembly, ProcessorChassis Assembly, Power DistributionAssembly (PDA), Receiver Assembly,Gimbal Assembly, EnvironmentalControl Subsystem (ECS), Pod Pres-surization Subsystem (PPS), Pod Hous-ing Subsystem.

12.2.4 Built-In-Test (BIT) Design. There are threetypes of BIT run by the RAMICS:

a. Power Up BIT (PUB). PUB begins whenpower is first applied. When electrical power is ap-plied to RAMICS (through actuation of a CommonConsole control) the system will automatically startup in the STANDBY State and begin performingPUBs.

b. Continuous BIT (CBIT). RAMICS is de-signed so that BIT’s automatically initiate periodical-ly during the operation of the system, where they donot interfere with the safe operation of the subsys-tems/WRAs involved.

c. Operator Initiated BIT (OIB). OIB, like theother BIT capabilities, monitors the status of systemhealth, mission critical components and system safetyinterlocks.

12.2.4.1 Power Up and Continuous BIT run automat-ically, but the continuous BIT is less extensive.Operator-Initiated has some features that are notavailable for the automatic modes.

12.2.5 Reliability and Maintainability. The designof the RAMICS exceeds all Reliability and Maintain-ability (R&M) requirements and features a low riskR&M program. These features include:

a. A single, sealed System containing the laserand all optical components which does not requireany alignment at the Organization level (O-level).This eliminates the need for special maintainer skillsand special support equipment. The sealed optics/la-ser path also protects the equipment from contamina-tion by dust, moisture, or salt.

b. Extended life of the diode array due to thenarrow laser pulse width.

c. Environmental protection from damage dueto temperature, pressure, vibration, humidity, and salt.

12.2.5.1 Reliability Analysis will be updated through-out the System Design and Development (SD&D)phase and the results will be fed back into the designprocess so that deficiencies can be identified andcorrected. Preliminary reliability predictions indicatethat the RAMICS has a series Mean Time BetweenFailure (MTBF) of 284 hours. Preliminary predictionsare based on vendor supplied data and MIL-HDBK-217 parts count predictions.

12.2.6 Support Equipment Requirements. NGCwill provide Support Equipment (SE) obtained asGovernment Furnished Equipment (GFE) and factorytype test equipment in sufficient quantity to supportspecified maintenance requirements for the RAMICSSystem. NGC will also identify materials and services,equipment, tools, and outfitting of facilities to accom-plish specified Organizational and Depot level mainte-nance requirements.

12.2.7 Manpower Skills and Facility Require-ments. There is no requirement for additional man-power skills at the O-level. A Class I clean room isrequired to complete repairs on the Laser Transmitter/Receiver Subassembly, and will be provided by theOriginal Equipment Manufacturer (OEM). The SafetyAnalysis has determined that the Laser will never besafe for repair at the O-level.

12.2.7.1 Organizational Maintenance Tasks. Mainte-nance tasks at O-level are minimal. These tasks willinclude:

a. Removal of the RAMICS from the shippingcontainer and preparation for flight.

b. Installation of the RAMICS Pod and check-out on the aircraft.

c. Removal of the RAMICS from the aircraftand installation in the shipping container.

d. Removal of the collimator.

e. Removal of the Boresight Laser Assembly.

f. Boresight alignment.



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g. Performing periodic inspections and PlannedMaintenance System (PMS) Services.

h. NGC will not prepare any Battle Damage As-sessment Reports (BDAR) for the RAMICS.

12.2.7.2 Depot Maintenance Requirement. The Depotor contractor facility will be responsible for repairingthe RAMICS WRA and all SRAs designated asrepairable.

12.2.7.3 Contractor Support. Interim Contractor Sup-port will be provided through completion of the flighttest program. Any additional contractor support will beaddressed after award of a production contract.

12.2.7.4 Manpower and Personnel Integration. Man-power, Personnel, and Training (MPT) considerationsare integrated into the design effort of the RAMICS toimprove total system performance and reduce cost ofownership. This is accomplished by focusing attentionon the capabilities and limitations of the sailor. A keyenabler of this effort will be modern InformationTechnology as it relates to Interactive ElectronicTechnical Manuals (IETMs) and training data.

12.2.7.5 The Manpower and Personnel Integrationconsists of conducting a detailed maintenance man-power analysis, designing systems to minimize mainte-nance requirements, and developing a training systemfor maintenance personnel utilizing the Navy’s Train-ing Planning Process Methodology (TRPPM). TRPPMproduces a single product, the initial Navy TrainingSystem Plan (NTSP). This plan ensures MPT consider-ations are integrated into the design effort of RAM-ICS. It is expected that maintenance tasks associatedwith the RAMICS will be within the capabilities ofthe Navy’s existing enlisted rating structure.

12.2.7.6 Avionics Technicians (AT) with an as yetundetermined Navy Enlisted Classification (NEC) willbe assigned to MH-60S squadrons to provide mainte-nance support for the RAMICS. These technicians willbe fully trained to conduct maintenance on theRAMICS as well as the additional OAMCM systemsas required. These technicians will be the keystones tosupporting OAMCM maintenance requirements whiledeployed in the field/on the flight deck and duringlily-pad operations.

12.2.7.7 Aviation Ordnancemen (AO), NEC Code8378, will perform aircraft mission configuration ofthe RAMICS. This Airborne Mine Countermeasure(AMCM) systems maintenance support concept is

similar to that currently in place within the HelicopterMine Countermeasures Community and is supportedby the Office of the Chief of Naval Operations (CNO).

12.2.8 General Training Requirements. Trainingrequirements for individuals and groups involveddirectly or indirectly in ordnance or explosives han-dling can be found in many different instructions.Most process governing instructions contain a sectionwhich identifies required training. NAVSEA OP 5covers a broad spectrum of training requirements.Each TYCOM has ordnance training courses listed intheir training requirements manual. There are manytechnical training courses available to cover trainingrequirements in the following:

a. Ordnance management.

b. Explosives safety.

c. Ordnance transportation.

d. Ordnance handling.

e. Ordnance automated management systems.

12.2.9 Training Sources. For many, identifying allof the available training is as difficult as determiningall of the training requirements. No one documentexists that identifies all of the available ordnancetraining. One good source is the Catalog of NavyTraining Courses (CANTRAC). The shortfall of theCANTRAC is that it only lists formal schoolhousetraining identified by a Navy Course IdentificationNumber (CIN). In this era of joint training, there aremany formal ordnance training courses offered by theArmy that are available to the Navy, and informalordnance training courses within the Navy, that do nothave an assigned Navy CIN. Another good referencefor training sources is NAVSEA OP 5. The Catalog ofNonresident Training Courses, NAVEDTRA 12061,provides information on available correspondencecourses.

12.2.10 Schoolhouses. The following schoolhousesprovide the majority of the formal training or trainingmaterials for informal training:

a. Defense Ammunition Center (DAC) McAles-ter, OK. As directed in DoD 5160.65-M, DAC pro-vides training in ordnance management, explosivessafety, and ordnance transportation to all DoD mili-tary and civilian personnel. Navy related training isavailable thru Computer Based Training (CBT) CD-



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ROM media and conducted both at DAC and on siteat the requesting activity. Further information can beobtained by accessing the DAC website is availableat: https://www3.dac.army.mil/navy/.

b. Fleet Combat Training Center (FCTCL), DamNeck, VA. FCTCL provides training in ordnancemanagement and ordnance handling for military per-sonnel on the east coast. Further information can beobtained by accessing the FCTCL website.

c. Fleet Training Center (FTC), San Diego, CA.FTC provides training in ordnance management andordnance handling for military personnel on the Westcoast. Further information can be obtained by access-ing the FTC website.

d. Surface Warfare Officer’s School (SWOS),Newport RI. SWOS provides ordnance managementtraining for Surface Warfare Officers. Further infor-mation can be obtained by accessing the SWOS web-site.


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