(a) OPNAVINST 4790.4 - Ships' Maintenance and Material Management (3-M) Manual

(b) NAVSEA T9410-AB-PRO-020 - TRIDENT Command and Control System Problem Report System (TCPRS)

(c) INSURVINST 4730.1 - Trials and Inspections of Surface Ships

(d) INSURVINST 4730.2 - Trials and Material Inspections of Submarines


A Sample Page of 4760-1 Report with Representative Data

B Legend and Explanation of Symbols Used in Report 4760-1

C Preparation for Guarantee Material Inspection/Final Contract Trials

5.1 PURPOSE. The purpose of this chapter is to provide a procedure to identify and document deficiencies found in new construction ships. This chapter focuses on the period from initial Acceptance Trials (AT) until the termination of funding responsibility under the Shipbuilding and Conversion, Navy (SCN) appropriation. Proper management of these deficiencies is necessary to ensure:

a. Final settlement of the construction contract with the shipbuilder.

b. Correction of the maximum number of shipbuilder responsible deficiencies under terms of the construction contract.

c. Correction of the maximum number of government responsible deficiencies under the SCN appropriation.

d. Identification of all new construction deficiencies which must be corrected subsequent to the guarantee period under appropriations other than SCN, and identification of improvement items which have class application.

Deficiency items not adjudicated prior to Combined Trials (CT) and the Guarantee Material Inspection (GMI) for submarines or during ATs and Final Contract Trials (FCT) for all other ships are identified to the Navy by the Board of Inspection and Survey (INSURV). Additional items are identified during Naval Sea Systems Command (NAVSEA) Acoustic Trials, Combat System Certification Trials (CSCT) and by the Commanding Officer (CO) of the ship during the contract guarantee period and reported to the Supervising Authority.

5.2 DEFICIENCY CORRECTION. Deficiencies are addressed in terms of three general categories. The procedure for initiating corrective action for a deficiency is determined by the category.

5.2.1 Government Responsible Items. The obligation and work limiting date for all shipbuilding programs under the SCN appropriation will normally be at the end of the 11th month following completion of the fitting out period. For submarines, the fitting out period ends at delivery. Government responsible work accomplished in support of a new construction ship and funded under SCN is limited to work which can be completed prior to the end of this 11 month period. Authorization for correction of non-reactor plant government responsible deficiencies is provided by the Ship Program Manager based on a priority assignment by the ship and recommendations from the Type Commander (TYCOM). Authorization for correction of reactor plant government responsible deficiencies is provided by NAVSEA Nuclear Propulsion Directorate (08).

5.2.2 Shipbuilder Responsible Items. Construction contracts with private industrial activities contain a guarantee clause. The rights of the government concerning deficiencies identified during the guarantee period are set forth in the contract. Deficiencies must be identified and reported to the shipbuilder and cognizant government agencies prior to the end of the guarantee period in order for corrective action to be established. Correction of deficiencies designated shipbuilder responsible can be accomplished during any subsequent period that the ship is made available to the shipbuilder. Availability of the ship is usually limited to the Post Shakedown Availability (PSA), except under special circumstances when immediate corrective action prior to PSA is required to permit the ship to meet operational commitments. The ship may also be made available to the shipbuilder after PSA to permit follow-up corrective action on shipbuilder responsible deficiencies identified during the guarantee period but not satisfactorily corrected during PSA.

5.2.3 Recommended Changes in Characteristics, Design Specifications, or Plans. Improvements to the ship recommended by INSURV will be investigated by the Ship Program Manager. Action, as appropriate, will be initiated by a government approved change. This change may be in the form of a Field Modification Request (FMR), Headquarters Modification Request (HMR), Ship Alteration (SHIPALT), Ordnance Alteration (ORDALT), Special Projects Alteration (SPALT), Service Change, Machinery Alteration (MACHALT) and Field or Engineering Change Proposal. Changes of this nature usually have application to more than one ship of the class. Improvements to the ship recommended by Ship's Force should be forwarded by the CO in accordance with Volume IV, Part I, Chapter 2 to the Ship Program Manager via the Supervising Authority.

5.3 REQUIRED REPORTS. The responsibility for ensuring deficiencies are corrected rests jointly with the CO, the Supervising Authority and the Ship Program Manager. The method of corrective action varies with the type of deficiency and may involve the coordinated action of several activities. In order to effectively prosecute each deficiency, special reporting and handling procedures are necessary. The Ship's Maintenance Data System shall be implemented not later than delivery in accordance with reference (a). This will provide a smooth transition into the Maintenance Resources Management System (MRMS) and permit Maintenance and Material Management (3-M) documentation of all INSURV deficiencies for use with the Consolidated Report. The Consolidated Report provides follow-up action on all deficiencies and minimizes administrative effort.

a. Consolidated Report. A Consolidated Report, compiled by the Ship Program Manager, combines into one document the screening actions, reports of completed actions and significant information as listed below (as applicable):

(1) AT/CT INSURV Report.

(2) FCT/GMI INSURV Report.

(3) Post Delivery Deficiency Items (PDDI).

(4) CSCT.

(5) Silencing Deficiencies.

(6) HMRs.

(7) Ship Program Manager action on all deficiencies.

(8) Shipbuilder Delivery Letter.

(9) Supervising Authority evaluation of shipbuilder comments on Deficiency Items.

(10) Priority assignment of all deficiencies.

(11) TYCOM action on all deficiencies.

(12) Authorized action for PSA for appropriate items.

(13) Final status of all deficiencies at the end of the SCN funding period (PSA Completion Report).

(14) TYCOM final action on each item uncorrected at the end of the SCN funding period.

(15) Identification of deficiencies requiring Ship Program Manager action to develop corrective action.

(16) Estimated cost to the government for correction by Forces Afloat of shipbuilder responsible deficiencies.

(17) Antenna Inspection Deficiency Items.

b. Report Format. Appendix A of this chapter is an example of a completed page of the Consolidated Report, containing sample entries from various parts. The symbols used in defining the action taken by each activity are described in Appendix B of this chapter along with a discussion of the use of each column. The Consolidated Report typically consists of the following parts:

(1) Part A Key Definitions for Symbols used in the PSA Work Package

(2) Part B INSURV Deficiencies

(3) Part C-I Non-Nuclear HMRs

(4) Part C-II Other Non-Nuclear Items

(5) Part C-III Non-Nuclear CSCT Items

(6) Part D Antenna Inspection Deficiency Items

(7) Part E PDDIs

(8) Part F Silencing Deficiencies

c. Preparation.

(1) Part B:

(a) List of INSURV deficiency items: Prepared by the Ship Program Manager and distributed following CT/AT.

(b) List of INSURV GMI/FCT items: Prepared by the ship in accordance with Appendix C of this chapter immediately following the GMI/FCT for use by NAVSEA at the GMI/FCT Card Conference. The Ship Program Manager will distribute a finalized GMI/FCT list following the GMI/FCT Card Conference.

(2) Part C-I, C-II, C-III, D and F: Prepared and distributed by the Ship Program Manager.

(3) Part E: Prepared by the ship as discussed in section 5.6 of this chapter.

d. Reporting.

(1) Thirty days after delivery, the ship will submit marked up copies of Part B indicating the priority assignment of each uncorrected CT/AT deficiency (Ship Program Manager, TYCOM, Immediate Superior in Command (ISIC), Supervising Authority).

(2) The Ship Program Manager will prepare and distribute marked up copies of Parts C-I, C-II, C-III, D and F as the information becomes available.

(3) Priority assignment for Part B deficiencies (including review of all uncorrected CT/AT deficiencies) is determined at the GMI/FCT Card Conference. Marked up copies are retained by all participants. (Ship Program Manager, TYCOM, ISIC, Ship, Supervising Authority).

(4) The ship will report deficiencies discovered after GMI/FCT and before the end of the SCN period in accordance with section 5.6 of this chapter.

(5) Deficiencies listed in the Consolidated Report which are corrected by Forces Afloat are to be reported in writing to the Ship Program Manager with copies to the TYCOM, the Supervising Authority as appropriate, and the scheduled PSA activity. This report will normally be submitted by the ship at the end of a refit or maintenance period. Negative reports are not required.

(6) The ship will submit a marked up copy of the Consolidated Report to the TYCOM; copy to the ISIC, Ship Program Manager, Supervising Authority, Submarine Maintenance Engineering, Planning and Procurement (SUBMEPP) Activity (for submarines) and the President of the INSURV Board thirty days after PSA or at the end of the guarantee period, whichever is later. This report will indicate the final status of all deficiencies identified during the guarantee period.

5.4 COMBINED TRIALS/ACCEPTANCE TRIALS. The CT/AT is scheduled by the Supervising Authority and conducted by the INSURV Board. The Supervising Authority in conjunction with the ship's CO will present to the INSURV Board known deficiencies which require correction.

5.5 GUARANTEE MATERIAL INSPECTION/FINAL CONTRACT TRIALS. GMIs/FCTs are scheduled by the TYCOM and conducted by the INSURV Board after shakedown, prior to the end of the guarantee period. These inspections/trials provide a formal evaluation of the material condition of each newly constructed ship after limited service. GMIs/FCTs are conducted sufficiently in advance of PSA to allow "lead time" for the procurement of material and the advanced planning required for the correction of deficiencies during the availability. The CO will present the ship's material status to the INSURV Board following the guidance in Appendix C of this chapter. GMIs are conducted for submarines; all other ships will undergo an FCT.

5.6 POST DELIVERY DEFICIENCY ITEMS. The CO is responsible for reporting deficiencies not otherwise identified by INSURV, until the end of the SCN period in accordance with the following procedures. By using the same format for PDDI reporting as for INSURV items and by extending the use of the Consolidated Report to include these items, the same management attention is afforded to all construction deficiencies.

a. The following types of problems should be reported as PDDIs:

(1) Recurring failures in a piece of equipment or machinery such that the reliability is considered unsatisfactory.

(2) Major equipment or component malfunction which requires outside assistance to correct (vendor or industrial activity)

(3) Symptoms of major machinery problems which require investigation to determine the extent of the problem. (Improper temperatures, pressures, leakage, vibration, noise, etc.)

(4) Insufficient supply support for specific equipments or machinery based on operational experience. Allowance deficiencies reported as PDDIs should be supplemented by submission of Allowance Change Requests/Configuration Change Reports as appropriate.

(5) Excessive or accelerated wear, erosion, or corrosion determined through inspection.

(6) Improper bonding of preservation on surfaces that must be protected.

(7) Any casualty which results in a Casualty Report (CASREP). Insert an amplification data set immediately after the Parts Identification data set consisting of "AMPN/PDDI:___- ___//", ensuring that the CASREP includes all appropriate PDDI addressees. A separate PDDI must also be submitted.

(8) Identification of any condition or defect which requires a Departure from Specification request.

(9) Improper alignment, clearance, or resistance to ground which indicates an unaccounted for change from baseline data.

(10) Significant internal and external valve leakage. (Primary, seawater, steam, air, hydraulics, etc.).

(11) Any significant AT/CT deficiency item reported corrected which has recurred. Refer to the AT/INSURV number in the text of the deficiency description.

(12) Any AT/CT deficiency item reported corrected by the shipbuilder which is not considered by the ship to be complete. Refer to the AT/INSURV number in the text of the deficiency description.


b. Reporting.

(1) Between delivery and GMI/FCT, uncorrected deficiencies of the nature described above should be documented in the Current Ship's Maintenance Project (CSMP) and presented to the INSURV Board for consideration during GMI/FCT.

(2) Problems requiring corrective action prior to PSA, or of such significance that planning will have to commence as early as possible, should be reported by message OPNAV 4790/2K/Streamlined Alternative Logistics Transmission System (SALTS) without delay. The OPNAV 4790/2K must contain the sequential identification number of the PDDI and a brief description of the problem being reported. Multiple PDDIs per report are encouraged. Items reported by message OPNAV 4790/2K/SALTS should be included in the next regular PDDI report. The message shall be addressed to the Supervising Authority, with information copies to the Ship Program Manager, TYCOM (N40), the ISIC, and NAVSEA 08 (for items with nuclear cognizance).

(3) Routine PDDIs shall be reported by OPNAV 4790/2K and summarized at least monthly after the GMI/FCT.

(4) All PDDIs shall be assigned a sequential number identifying the item for administrative purposes and a priority in the "ship" column of the 4760-1 Report. This forms Part E of the Consolidated Report. Report Form 4760-1 will be provided to the ship at the GMI/FCT Card Conference.

(5) Distribution of the PDDI report by the ship will be as follows:

(a) Advance copy to the Supervising Authority.

(b) Advance copy to the Ship Program Manager. (Nuclear deficiencies to NAVSEA 08)

(c) Copy to the ISIC.

(d) Original to the Supervising Authority via the TYCOM and the Ship Program Manager.

(6) All PDDIs shall be assigned a Job Sequence Number (JSN) in the ship's JSN log prior to input into the ship's CSMP. The CSMP summary line (Block 37, OPNAV 4790/2K) will contain the PDDI sequential number for cross reference.

(7) (SSBN 726 Class Submarines only) Submit TRIDENT Command and Control System Problem Reports in accordance with reference (b) for SSBN 726 Class Command and Control problems unless the deficiency requires major PSA work.




REPORT 4760-1



N/S Action











Snorkel safety circuit high vacuum trip does not function.












Nitrogen stowage capacity insufficient to support requirements of oxygen generator operation for extended operations.

NA3 ShipAlt will be accomp IAW FMP










SPM inoperable due to zero ground.









Bow area rattle, affects BQA-8 hydrophones #3 and #4.







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  1. Each activity will enter in the applicable column the appropriate symbol to indicate status, position, priority, responsibility or authorization for each item.
  2. Extra pages shall be added to the package as necessary to provide history, results of investigations or comments to clarify the position or the item itself.
  3. The action taken for each item in each of the columns from the "N/S Action" column through the "PSA" column will be an integrated action by all concerned following INSURV CT/AT, GMI/FCT, and PSA related conferences.
  4. The following is a brief description of the purpose of each column:

a. Column "N/S Action" - Indicates Ship Program Manager assignment of responsibility. No government SCN funded work is authorized in this column. Authorization of work will be as stated under the "PSA" column for each line item in the work package.

b. Column "K" - Column "K" is used to indicate the position of the shipbuilder for an item indicated in column "N/S Action" as being the responsibility of the shipbuilder to correct. The shipbuilder may prepare insert pages for comments as appropriate. A rationale is to be provided for all items not accepted (marked "KZ") by the shipbuilder.

c. Column "SOS" - This column is used to indicate the position of the Supervising Authority for each of the items as feasible but especially for those items on which the shipbuilder has responded in column "K".

d. Column "Ship" - This column is used by the ship to indicate the status or action desired for each item still considered open, including a priority assignment regardless of the responsibility/action indicated by INSURV or assigned by the Ship Program Manager or reported corrected by the Supervising Authority. Comments from Ship's Force providing further information and clarification as insert pages are especially helpful in planning correction of any item.

e. Column "TY" - This column indicates the position of the TYCOM on the priority assignment of the ship.

f. Column "PSA" - This column is used by NAVSEA. Authorization of SCN funded work appears only in this column.

g. Column "Final" (Ship and Supervising Authority) - This column is used to indicate the final status of each deficiency at the end of the SCN funded period. This column may be used by the shipbuilder to report to the Supervising Authority the status of deficiencies at the end of the guarantee period. This column is used by Supervising Authority to provide the final status of all authorized work (government and shipbuilder) as reported by the shipbuilder at completion of PSA. This information should be used as a portion of the Departure Report which is to be forwarded to the Ship Program Manager not later than 50 days following the end of the ship's PSA. Comments and recommendations by the Supervising Authority advising correction or non-correction of open items are required.

h. Column "TYCOM" (Final) - This column is used to indicate the action desired by the TYCOM on all items still open at the end of the PSA period. This data will be reviewed at a "Disposition Conference" to be convened and chaired by the Ship Program Manager.

i. Column "N/S" (Final) - This column will be used by the Ship Program Manager to report on agreements made between the TYCOM and the Ship Program Manager during the "Disposition Conference" for each open deficiency item.

5. The following list of symbols is provided in alphabetical order for ease of use. In the interest of simplification, many symbols have been combined.


Used In The Following Columns



Ship, TY, PSA

Ship Program Manager authorize correction of the item by the industrial activity as an item for first priority.


Ship, TY, PSA

Ship Program Manager authorize correction of the item by the industrial activity as a highly desirable second priority item of work.


Ship, TY, PSA

Ship Program Manager authorize correction of the item by the industrial activity within available funds as third order of priority.


N/S Action thru N/S

Forces Afloat to correct using TYCOM funds. This includes TYCOM Alteration and Improvement (A&I) Items.


Final, TYCOM

Ship's Force submit request for alteration or request for change to ship's allowance.


Ship, Final

Forces Afloat will follow-up on material through procurement and correct the deficiency.


Ship thru Final

Forces Afloat will correct with technical assistance from equipment manufacturer/vendor or the Ship Program Manager.


N/S Action

Government responsible to correct condition noted as necessary to comply with shipbuilding specifications. No work authorized except by specific Ship Program Manager action.


N/S Action, PSA

Government responsible to approve for accomplishment for Forces Afloat. Ship Program Manager/Supervising Authority will provide material or technical/design assist as required.



Ship Program Manager investigate and authorize correction as appropriate.


N/S Action, PSA

Government responsible - equipment still under guarantee. Vendor responsible for correcting condition as noted. Supervising Authority responsible to ensure vendor is available and correction is taken under vendor supervision.


N/S Action, PSA

Shipbuilder responsible, authorized to correct condition noted as necessary to comply with shipbuilding specifications.



Shipbuilder accepts responsibility for correction with or without comment. Comment on attached supplementary page.


N/S Action, PSA

Shipbuilder responsible to make installations and all repair work. Shipboard testing approved for accomplishment by Forces Afloat.



Shipbuilder responsible, authorized to investigate and correct condition noted as necessary to comply with shipbuilding specifications. Government responsible for defects in Government Furnished Equipment (GFE) or Government Furnished Information (GFI). No work authorized for government portion of item without separate specific Ship Program Manager action.



Shipbuilder accepts item for investigation with determination of responsibility to be made after investigation.



Shipbuilder does not accept the item as his responsibility. Rationale to be provided on attached supplementary page.


N/S Action

Not authorized using SCN funds:

  1. Cost not commensurate with gain.
  2. No longer considered a deficiency.
  3. Recommend correction be accomplished by a SHIPALT during future availability.


Final, TYCOM, N/S

Recommend SHIPALT be developed to correct.



Comments of shipbuilder are accepted and concurred with by the Supervising Authority.


N/S Action

Silencing deficiency items with responsibility and authorization to be determined by separate Ship Program Manager action.



Supervising Authority is authorized to procure material and turn same over to Ship's Force for installation. A copy of the requisitioning document will be provided to Ship's Force to allow supply follow-up action if necessary.



Item remains controversial. Comments of the Supervising Authority are provided on attached supplementary page.



Approved for correction by the industrial activity when authorized and funded by the TYCOM.


Ship, TY, PSA

Government provide vendor service for Forces Afloat to assist during PSA.


SOS thru Final

Item was corrected by Forces Afloat.


SOS thru Final

Item was corrected by shipbuilder or other industrial activity under a work specification, job order, or FMR funded by the government.


SOS thru Final

Shipbuilder has completed corrective action.


N/S Action, PSA

Changes to Ship Program Manager action.



Authority to be provided separately by NAVSEA 08 action.



1. To properly prepare for and document deficiencies for the GMI/FCT conducted by the INSURV Board and conduct the GMI Card Conference, the following guidance is provided.

a. Pre-GMI/FCT Documents

(1) Ship's Force provide to the INSURV Board:

(a) For previously reported CT/AT items, provide two copies of the Ship Program Manager's Initial PSA Consolidated List with all INSURV items considered complete by Ship's Force lined out. Do not obliterate items lined out.

(b) Document all new deficiencies which have occurred since CT/AT on OPNAV 4790/2Ks in accordance with reference (a).

(2) Upon arrival, Ship's Force provide to Ship Program Manager representative(s) one complete set of each of the Pre-GMI/FCT documents as outlined in paragraph 1.a.(1) above.

(3) Ship's Force submit required number of copies of all documents for entry into the CSMP in accordance with reference (a).

b. Action on Final GMI/FCT Documents

(1) The INSURV Board will return the complete listing of GMI/FCT findings to the Ship Program Manager representative(s) for follow-up action. This listing will include all items in format per paragraph 1.a.(1) above. The Ship Program Manager will assemble this listing and prepare the GMI/FCT Consolidated Report, Section B, as required by this instruction. Type only the new documented findings from the OPNAV 4790/2Ks (1.a.(1)(b) above).

(2) Ship's Force will provide working spaces and administrative support as required by references (c) and (d).

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