APPENDIX B

READINESS CAPPING

Ref: (a) NWP 1-03.3 (Rev. A) (Status of Resources and Training System (SORTS))

B-101. General. Due to the structuring of mission area training requirements, overall percentages of exercise completions often do not give a true indication of actual combat readiness. There are special requirements (e.g., weapons firings and use of live services) and circumstances (e.g., failure of a major operational inspection), whose importance should override the normal C/M-rating computation process. In the event one of these occurs, the normal training readiness calculation procedure (Chapter 6, Section 2) will continue; however, the SORTS-reported result will be no higher than the cap imposed. These overrides, discussed below, apply only to the training elements of the SORTS mission/ resource categories. For example, only two of three missile firings successfully completed will result in an M2 cap in the AW training M-rating, while failure to achieve ECERT for level of knowledge or unsatisfactory operations will result in an M4 cap in the MOB training M-rating and a C4 cap in CRTNG. Mission area capping for failure to achieve ECERT for strictly material reasons is discussed in reference (a).

B-102. Mission Area Caps

a. AMW. AMW readiness is dependent upon participation in two critical sequential training events: Amphibious warfare specialty training (individual ship training) and then participation in an amphibious exercise (multi-ship training). CRUDES AMW readiness is dependent upon completion of NSFS qualification/requalification.

(1) For CRUDES units, M-4 cap for failure or expired NSFS qualification (FIREX-I)/ requalification (FIREX-II), including newly commissioned ships which have not completed initial qualification, if AMW is a primary mission area.

(2) M-3 cap for failure to complete Amphibious Specialty Warfare Training in the case of amphibious units.

(3) M-2 cap for non-participation in a multi-ship amphibious exercise prior to scheduled deployment.

(4) Resume normal reporting upon clearing of the capping limitation. If a ship that has not had Amphibious Warfare Specialty Training participates in an amphibious exercise then successful participation will remove the M-3 cap.

b. AW

(1) M2 cap in AW if only 2 of 3 required missile firings successfully completed (CG, CGN, DDG, FFG).

(2) M2 cap in AW if only 1 of 2 missile required firings successfully completed (DD, AOE, AOR, LHD).

(3) M2 cap if no firing of dual-purpose gun system in the last 90 days. (No specific exercise is required. Test firing/ PACFIRE will suffice.)

(4) M2 cap if no live air tracking is conducted in the last 90 days. (No dedicated services are required. Targets of opportunity are acceptable.)

(5) M3 cap if two of the above AW caps are applicable.

(6) M3 cap in AW if only 1 or none of 3 required missile firings successfully completed (CG, CGN, DDG, FFG).

(7) M3 cap in AW if none of two required missile firings successfully completed (DD, AOE, AOR, LHD).

(8) M3 cap in AW if single required missile firing is not conducted (RAM equipped ships).

(9) Resume normal reporting upon clearing of the capping limitation.

c. C2W

(1) M2 cap if ESM detection and analysis exercise (C2W-2-SF) not conducted with live services in the last six months.

(2) Resume normal reporting upon clearing of the capping limitation.

d. CCC and MOB

(1) M2 cap if ship is not underway overnight in the last 30 days.

(2) M3 cap if ship is not underway overnight in the last 60 days.

(3) Resume normal reporting upon clearing of the capping limitation.

e. MIW. MIW readiness is dependent upon participation in four critical sequential training events: MCM warfare specialty training, MIW evaluation, FEP, and participation in an integrated MCM exercise involving SMCM, AMCM, and EOD MCM assets.

(1) M3 cap for failure to complete MCM warfare specialty training.

(2) Failure to complete MIW evaluation is discussed in paragraph B-103.

(3) M2 cap for non-participation in a RONEX.

(4) Resume normal reporting upon clearing of the capping limitation. Successful participation in a RONEX will remove the M3 cap for a ship which has not completed MCM warfare specialty training.

f. STW.

(1) M-4 cap for failed or expired Cruise Missile Tactical Qualification including newly converted/commissioned ships which have not completed initial qualification.

g. SUW

(1) M2 cap if no live firing with ship's main gun battery in the last 90 days. (No specific exercise is required. Test firing/PACFIRE will suffice.)

(2) For lack of Cruise Missile Tactical Qualification: M3 cap for failure or expired qualification, including newly converted/commissioned ships which have not completed initial qualification.

(3) Resume normal reporting upon clearing of the capping limitation.

h. USW

(1) M2 cap if both the ASW-19-SF, RTT Firing, and the ASW-24-SF, LAMPS VECTAC Weapons Drop, have not been conducted in the last 12 months.

(2) M2 cap if no live active/passive contact, as defined in paragraph 6205.a.(4), in the last 90 days.

(3) M3 cap if the above two USW caps are applicable.

(4) M3 cap if the ASW-18-SF, SVTT Firing, has not been conducted for 12 months.

(5) Resume normal reporting upon clearing of the capping limitation.

B-103. Inspection/Evolution/Certification Caps. NWP 1-03.3 states that the failure of a major inspection, such as ORSE, will result in an initial M-rating of M4 for the appropriate mission area, and an initial C-rating of C4 in the training and/or equipment resource area as appropriate. As equipment and training deficiencies are corrected, mission and resource area status should be upgraded as appropriate.

a. For ECERT/ORSE level of knowledge, fire fighting (training related), or operations failure:

(1) C4 in CRTNG and M4 in MOB mission area. Ships will retain the C4/M4 cap until a successful certification / re-exam is achieved.

b. For ECERT expiration or decertification:

(1) C4 in CRTNG and M4 in MOB mission area. Ships will retain the C4/M4 cap until certification is achieved. Ship must use "TIP" as SORTS message reason code.

c. For failure to perform OCSOT/AAW Detect-to-Engagement:

(1) C4 in CRTNG and M4 in any mission area evaluated Unsatisfactory.

(a) Ships will retain the M4 cap until a successful re-exam is achieved. Upon certification by the group commander that the deficiency which caused the failure is corrected, the CRTNG cap is removed.

d. For FEP evaluation in any mission area:

(1) Cap at the level indicated in the final report for that mission area.

(2) Resume normal reporting upon completion of ISIC POA&M requirements.

e. For failure to complete MIW evaluation:

(1) M4 cap in MIW.

(2) C4 cap in appropriate resource categories.

(3) Resume normal reporting upon successful completion of subsequent reinspection or reevaluation of failed areas.

B-104. In each of the above situations, the ship will continue normal TRNGREP reporting. It will make appropriate SORTS changes as occurring, provided those changes result in the mission area being at the capped level or at a lower M-rating. If the normal computation procedure makes the M-rating higher than the capped level, the capped level will be used for SORTS reporting purposes. If the normal computation procedure makes the M-rating lower than the capped level, the lower rating will be used. Reporting caps apply regardless of the training phase in which the ship is operating. In reporting capped mission area, the following reason codes will be assigned in Part I with amplifying Part II comments:

TIP - For cap due to inspection failure.

THH - For cap due to incomplete firing or proficiency test.

THF - For cap due to failed firing or proficiency test.

TZZ - For any other training-related cap.

For example, a CG 47 class ship which has completed 86% of its AAW training requirements (M1 training level), but has conducted only one of three required missile firings, is capped at M3. The ship must use M3 for AAW training (in SORTS computations) and report "THH" as the reason code. If the ship's training exercise percentage were 54.9% or below, the ship would be required to use M4 for training in SORTS calculations.