DEPARTMENT OF THE NAVY
COMMANDER NAVAL SURFACE FORCE
UNITED STATES PACIFIC FLEET
2841 RENDOVA ROAD
SAN DIEGO CALIFORNIA 92155-5490
COMMANDER
NAVAL SURFACE FORCE ATLANTIC
1751 MORRIS STREET BOX 168
NORFOLK VIRGINIA 23511-2808

COMNAVSURFPAC/
COMNAVSURFLANTINST 1412.1A
N7
23 Jul 18
COMNAVSURFPAC/COMNAVSURFLANT INSTRUCTION 1412.1A
From: Commander, Naval Surface Force, U.S. Pacific Fleet
Commander, Naval Surface Force Atlantic
Subj: SURFACE WARFARE OFFICER QUALIFICATION AND AUTHORITY TO
WEAR THE INSIGNIA
Ref:

(a) MILPERSMAN 1210-090
(b) OPNAV M-5215.1
(c) SECNAV M-5210.1
(d) COMNAVSURFPAC/COMNAVSURFLANTINST 3502.3A

Encl: (1) Sample Report of Non-attainment Letter
(2) Sample Recommendation for Revocation of Designation Letter
(3) Basic Division Officer Course, Officer of the Deck Phase I, Advanced Division
Officer Course, & Officer of the Deck Phase II Requirements, Quotas, and Funding
1. Purpose. This is a joint Commander, Naval Surface Force, U.S. Pacific Fleet,
(COMNAVSURFPAC) and Commander, Naval Surface Force Atlantic
(COMNAVSURFLANT) instruction to publish the revised requirements for qualification and
designation as a Surface Warfare Officer (SWO) per reference (a). This is a significant revision
to previous policy and should be reviewed in its entirety.
2. Cancellation. COMNAVSURFPAC/COMNAVSURFLANTINST 1412.1.
3. Discussion. SWO qualification is the direct responsibility of every 116X designated officer
and is a critical career milestone in our community’s training and qualification process. Per
reference (b), records created as a result of this instruction, regardless of media and format, must
be managed per reference (c).
4. Responsibilities. COMNAVSURFPAC and COMNAVSURFLANT are responsible for
establishing SWO qualification policy and for providing oversight of the overall qualification
process.

 COMNAVSURFPAC/
COMNAVSURFLANTINST 1412.1A
23 Jul 18
a. To maintain consistent standards of qualification, Type Commanders (TYCOMs)
including Commander, Naval Air Forces, Commander, Submarine Forces, and Commander,
Navy Expeditionary Combat Command will adhere to the policies and intent of this instruction
by monitoring Surface Warfare qualification programs within the surface ships under their
cognizance.
b. The Commanding Officer (CO), Surface Warfare Officers School Command (SWOS) is
assigned as the Executive Agent for SWO training and qualification. As such, SWOS is
responsible for all matters concerning SWO training and associated Officer Personnel
Qualification Standards (PQS), to include:
(1) Management, review and distribution of all PQS required for SWO qualification.
(2) Development and maintenance of SWO Division Officer training curricula.
(3) Liaison between Commander, Naval Education and Training Command,
COMNAVSURFPAC and COMNAVSURFLANT to coordinate requirements and resources for
the execution of SWO training and PQS matters.
(4) Liaison with Navy Personnel Command (NPC) (PERS-41) for officer training
pipeline requirements.
c. COs of commissioned or pre-commissioning U.S. Navy surface ships are responsible for
the application of this instruction within their commands and all matters concerning SWO
training and associated Officer PQS, to include:
(1) Management, review, and execution of an annual training plan for SWO Division
Officer training curricula and oral boards.
(2) Adherence to, and management of, the SWO qualification and eligibility outlined in
this instruction.
5. Eligibility Requirements
a. Designators 116X, including lateral transfers into the Surface Warfare Officer community,
are the only designators eligible to pursue SWO qualification.
b. Officers pursuing SWO qualification must be a commissioned officer permanently
assigned to either a commissioned or pre-commissioning U.S. Navy surface ship.

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23 Jul 18
c. Only COs of commissioned or pre-commissioning surface ships may qualify officers as
SWOs. They may only qualify officers permanently assigned to their ship.
d. Once SWO qualification is achieved, transfer from one ship to another will not require
requalification as a SWO or revalidation of the entire SWO PQS package. However,
requalification in all applicable watchstations is required per reference (d).
e. All SWO qualified second Tour Division Officers, Department Heads, and Executive
Officers must complete a Platform Endorsement for OOD Underway (NAVEDTRA 43101-4F
Watchstation 303) after reporting to a new platform per reference (d).
6. SWO Qualification Requirements
a. Basic Division Officer Course (BDOC). All 116X designated officers must graduate from
BDOC prior to SWO qualification.
b. Satisfactorily complete all applicable 100 Section (Fundamentals), 200 Section (Systems),
and 300 Section (Watchstation) PQS items required within paragraph 7.
c. Demonstrate effective leadership skills and proficiency in performing Division Officer
duties, to include management of personnel, spaces, programs, and equipment as well as
significant experience as a Bridge, Combat, and Engineering watchstander.
d. Complete an oral SWO qualification board chaired by the CO and composed of a
minimum of two 111X designated Surface Warfare Officers with a minimum level of experience
of Department Head or higher. This oral examination should validate the officer’s general
professional knowledge of all aspects of Surface Warfare, predominantly covered by the PQS.
7. Required PQS
a. All officers pursuing SWO qualification must complete and qualify in the following PQS
watchstations:
(1) Damage Control (NAVEDTRA 43119) Watchstations 301-308;
(2) Maintenance and Material Management System (3M) (NAVEDTRA 43241);
Watchstation 304 Division Officer;
(3) Division Officer Afloat (NAVEDTRA 43463-1);
(4) Inport Officer of the Deck (NAVEDTRA 43397);
(5) Small Boat Officer (NAVEDTRA 43152);

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COMNAVSURFLANTINST 1412.1A
23 Jul 18
(6) SWO Engineering (NAVEDTRA 43101-3);
(a) Completion of an Engineering Officer of the Watch (EOOW) qualification on any
surface ship satisfies the requirement to complete SWO Engineering PQS.
(b) Non-nuclear trained officers on nuclear powered ships are required to complete
the watchstation requirements for Engineering (Steam Plant), NAVEDTRA 43101-3,
Watchstation 301.
(7) Combat Information Center Watch Officer PQS (NAVEDTRA 43101-4);
(8) Anti-Terrorism Tactical Watch Officer (NAVEDTRA 43385-9); and
(9) Qualify and serve successfully as an OOD Underway (NAVEDTRA 43101-F), or
other NAVEDTRA PQS specific to ship class. For example, Carrier, Fixed Wing, Nuclear
(CVN) OOD (NAVEDTRA 43496 watchstation 303) may be completed in lieu of SWO OOD.
b. The BDOC Course Completion Letter will identify 100 and 200 PQS line items covered
during the course of instruction. All 100 and 200 PQS line items not covered by BDOC must be
completed prior to qualification.
c. If the officer is temporarily assigned to another ship to complete watchstation
requirements, the ship to which he or she is temporarily assigned is authorized to sign for
completed PQS line items. However, the parent command retains full responsibility for
completing the final SWO qualification process for the assigned officer.
8. Timeline
a. There is no time requirement to complete SWO qualification; however, active command
correspondence with Navy Personnel Command (NPC) (PERS-412) is required if an 116X
officer’s qualification is expected to take longer than their First Division Officer tour.
b. Cross-deck training remains an option available to ship Commanding Officers to support
training and qualifications during long maintenance availabilities that may delay achievement of
prerequisite qualifications for SWO (i.e., CICWO and OOD Underway).
9. Designation and Authority to Wear the Insignia
a. The CO is authorized to present the SWO insignia and certificate to an officer upon
qualification. The achievement should be recognized at an appropriate ceremony, and relevant
comments should be included in the officer’s next regular fitness report.

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COMNAVSURFLANTINST 1412.1A
23 Jul 18
b. The CO will forward notification of all SWO qualifications to NPC (PERS-412) for all
active duty officers and PERS-91 for all inactive duty officers. Upon receipt, PERS-412 or
PERS-91 will:
(1) Change the designator of 116X officers to 111X as directed in reference (a).
(2) Assign AQD code LA9.
c. 111X designation or an AQD of LA9 entitles an officer to wear the SWO insignia.
Officers who earn the qualification and transfer to other officer communities retain the right to
wear the SWO insignia unless revoked.
10. Non-Attainment of Qualification. The CO can make a decision for non-attainment at any
time during an 116X designated officer’s tour. COs who recognize that an 116X designated
officer lacks aptitude, comprehension, motivation, or application to qualify will:
a. Submit a report containing the circumstances, officer’s potential, and an appropriate
recommendation concerning retention in the Naval service to NPC (PERS-412) via
COMNAVSURFPAC or COMNAVSURFLANT as appropriate. Reports of fitness should also
reflect unsatisfactory progress toward SWO qualification. Do not include fitness reports in nonattainment packages. Officers (116X) failing to attain SWO qualification will be processed as a
training attrite and their name will be forwarded to the Probationary Officer Continuation and
Re-designation (POCR) Board.
b. The officer will be afforded the opportunity to comment on the CO’s report of nonattainment (enclosure (1)). Such comments will be appended as the first endorsement of the
report and returned to the CO. The CO may then make additional comments and append them to
the basic report as the second endorsement. The report will then be forwarded to
COMNAVSURFPAC or COMNAVSURFLANT as appropriate. TYCOM will adjudicate the
non-attainment report and forward results to NPC (PERS-412).
11. Revocation of Qualification. Revoking SWO qualification is a serious matter, potentially
leading to a change of designator or termination of a career. It is an administrative action that
should be undertaken carefully when circumstances dictate.
a. A SWO will retain such designation and AQD until it is revoked by NPC.
b. A CO, or any Immediate Superior In Command in the individual’s chain of command,
may recommend revocation of SWO designation and AQD under any of the following
circumstances:
(1) Unsatisfactory performance at sea;
(2) Gross lack of professional or personal judgment and integrity;
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 COMNAVSURFPAC/
COMNAVSURFLANTINST 1412.1A
23 Jul 18
(3) Refusal to accept or perform duties afloat;
(4) Being found unfit for sea duty because of lack of seamanship, warfighting, leadership
or managerial ability;
(5) Failure to perform at any SWOS milestone school (i.e., Advanced Division Officer
Course (ADOC), Department Head course, etc.) and may, if eligible, be considered for referral to
a POCR Board.
c. A request for revocation of SWO qualification will be submitted following the provisions
of reference (a). The officer initiating the recommendation for revocation will submit a letter
report to NPC (PERS-4), enclosure (2), via administrative chain of command.
d. A recommendation for revocation will not be made in lieu of detachment for cause, nor
will recommendations automatically be included in cases of detachment for cause.
(1) Revocation may be considered and recommended coincident with a detachment for
cause but will be handled administratively as a separate action by NPC.
(2) A recommendation for revocation should be based on both the officer’s past
performance and potential to continue to serve as a creditable member of the Surface Warfare
community, either afloat or ashore.
e. Upon approval of revocation, a Surface Warfare Officer’s designation will be changed
from 110X and AQD LA9 will be removed from those officers with other than 111X
designators.
12. Advanced Division Officer Course. All 111X designated officers must attend ADOC
between their First and Second Division Officer tours. See enclosure (3) for prerequisites,
funding, quota control, and remediation policy for BDOC and ADOC.
13. Review and Effective Date. Per OPNAVINST 5215.17A, COMNAVSURFPAC and
COMNAVSURFLANT will review this instruction annually on the anniversary of its effective
date to ensure applicability, currency, and consistency with Federal, DoD, SECNAV, and Navy
policy and statutory authority using OPNAV 5215/40 Review of Instruction. This instruction
will automatically expire five (5) years after effective date, unless reissued or canceled prior to
the 5-year anniversary date, or an extension has been granted.

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 COMNAVSURFPAC/
COMNAVSURFLANTINST 1412.1A
23 Jul 18
Releasability and distribution:
This instruction is cleared for public release and is available electronically only via
COMNAVSURFPAC Directives Web site
https://cpf.portal.navy.mil/sites/cnsp/Pages/Directives.aspx
COMNAVSURFLANT Directives Web site
https://usff.navy.deps.mil/sites/surflant/n002/Lists/CNSLDirectives/Summary.aspx

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 COMNAVSURFPAC/
COMNAVSURFLANTINST 1412.1A
23 Jul 18
SAMPLE REPORT OF NON-ATTAINMENT LETTER
1412
Ser DDG XX/XXX
DD Mmm YY
From: Commanding Officer, USS SHIP (DDG XX)
To:
Commander, Navy Personnel Command (PERS-412)
Via: (1) LTJG John P. Jones, USN, 1160
(2) Commanding Officer, USS SHIP (DDG XX)
(3) Commander, Naval Surface Force, U.S. Pacific Fleet or
Commander, Naval Surface Force Atlantic (as applicable)
Subj: REPORT OF SWO NON-ATTAINMENT ICO LTJG JOHN P. JONES, USN, 1160
Ref:

(a) COMNAVSURFPAC/COMNAVSURFLANTINST 1412.1A

Encl: (1) USS SHIP (DDG XX) ltr 1412 Ser DDG XX/XXX of 9 Aug 18 (as applicable for CO’s LOIs)
(2) As applicable
(3) As applicable
1. Per reference (a), this letter is submitted to document the inability of LTJG John P. Jones to
demonstrate the requisite level of knowledge and aptitude necessary to qualify as a Surface Warfare
Officer (SWO). Details of his potential and the circumstances leading to his non-attainment are outlined
below and further explained in enclosures (1) through (3).
2. Include justification for SWO non-attainment and an appropriate recommendation concerning redesignation and/or retention in the naval service.

E. D. PREBLE
Copy to:
ISIC
LTJG Jones

Enclosure (1)

 COMNAVSURFPAC/
COMNAVSURFLANTINST 1412.1A
23 Jul 18
SAMPLE RECOMMENDATION FOR REVOCATION OF DESIGNATION LETTER
1412
Ser DDG XX/XXX
DD Mmm YY
From: Commanding Officer, USS SHIP (DDG XX)
To:
Commander, Navy Personnel Command (PERS-4)
Via: (1) LTJG John P. Jones, USN, 1160
(2) Commanding Officer, USS SHIP (DDG XX)
(3) Immediate Superior In Command
(4) Commander, Naval Surface Force, U.S. Pacific Fleet or Atlantic (as applicable)
Subj: RECOMMENDATION FOR REVOCATION OF SURFACE WARFARE OFFICER
DESIGNATION ICO LT JOHN P. JONES, USN, 1110
Ref:

(a) COMNAVSURFPAC/COMNAVSURFLANTINST 1412.1A

Encl: (1) USS SHIP (DDG XX) ltr 1412 Ser DDG XX/XXX of 9 Aug 18 (as applicable for CO’s LOIs)
(2) As applicable
(3) As applicable
1. Per reference (a), this letter is submitted to notify LTJG John P. Jones of my recommendation for
revocation of his Surface Warfare Officer (SWO) designation (SWO Revocation Recommendation).
Details the circumstances leading to his revocation are outlined below and further explained in enclosures
(1) through (3).
2. Include justification with supporting facts for revocation of designation.
3. Further questions can be directed to my Executive Officer, CDR Stephen O. Decatur, by e-mail:
xo@ddgxx.navy.mil.

E. D. PREBLE
Copy to:
ISIC
TYCOM
LT Jones

Enclosure (2)

 COMNAVSURFPAC/
COMNAVSURFLANTINST 1412.1A
23 Jul 18
BASIC DIVISION OFFICER COURSE, OOD PHASE I, ADVANCE DIVISION OFFICER
COURSE, & OOD PHASE II REQUIREMENTS, QUOTAS, AND FUNDING
1. Basic Division Officer Course (BDOC) & Officer of the Deck (OOD) Phase I Prerequisites. Be an
officer (116X) or lateral transfer into the SWO community and meet requirements listed in paragraph 5.
Upon commissioning, Ensigns will attend two courses to prepare them to drive ships and lead Sailors.
The first course, BDOC will be attended by new accession officers within 6 months (179 days) of
commissioning. Each year after the May commissioning season, a backlog exists for BDOC quotas.
During that time, Forward Deployed Naval Forces (FDNF) units and Nuclear Power Officers shall have
priority. The second course, OOD Phase I course will commence in May 2019 starting as a 4-week
JOOD course and transition to a full 6-week course, slated for full implementation in 2021.
2. BDOC Graduation Requirements. While attending BDOC, a minimum of 90 percent is required on
the Rules of the Road exam. For all other BDOC examinations, 75 percent is the minimum acceptable
score. BDOC failures will be treated as initial training attrites and disenrolled. Once a student is
disenrolled from training, their record will be forwarded to NPC for disposition at a Probationary Officer
Continuation and Re-designation (POCR) Board.
3. BDOC & OOD Phase I Funding. NPC (PERS-41) will fund all new accession Surface Warfare
Officers (SWO) and re-designated Officers into the SWO Community (116X) to attend BDOC and OOD
Phase I as part of their initial training. Officers will receive PCS orders to their ship with BDOC and
OOD Phase I as an intermediate stop (I-stop) before permanently reporting (i.e., Accounting Clarification
Code (ACC) 100) to their ultimate command.
4. Advance Division Officer Course (ADOC) & OOD Phase II Prerequisites. At the end of the first tour
(or before fleeting up to a second tour assignment on the same ship and at a time which supports the
ship’s operational schedule), SWO qualified Junior Officers will attend the OOD Phase II course which
is projected to start in 2021. Upon passing the OOD Phase II course, Junior Officers will attend ADOC
at SWOS. All 1110 officers will attend ADOC enroute to their second Division Officer tour assignment.
5. OOD Phase II Go/No Go Assessment. Upon implementation of OOD Phase II, officers will be given
a Go/No Go assessment. An officer who cannot successfully complete this assessment will be sent to the
POCR Board for possible re-designation, if selected by another community.
6. ADOC Graduation Requirements. While attending ADOC, a minimum of 90 percent is required on
the Rules of the Road exam. For all other ADOC examinations, 75 percent is the minimum acceptable
score. ADOC failures who do not successfully remediate will be disenrolled. Once a student is
disenrolled from training, their record will be forwarded to NPC for disposition at a POCR Board.

Enclosure (3)

 COMNAVSURFPAC/
COMNAVSURFLANTINST 1412.1A
23 Jul 18
7. OOD Phase II/ADOC Funding. NPC funds the requirement for officers to attend ADOC and OOD
Phase II after their first tour and before reporting to their second tour command. NPC funding of ADOC
and OOD Phase II also includes those officers executing the Division Officer Sequencing Plan Fleet-up
option. However, officers executing a single longer tour onboard the same ship and therefore remaining
in the same Billet Specialty Code will have ADOC/OOD Phase II funded through TYCOM TADTAR
that must be approved by the respective TYCOM N7. Commands must coordinate with PERS-413 for a
future quota and will send the officer to the course in a Temporary Additional Duty status.

2

Enclosure (3)