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HQOWI1450 - M020

**NASA Headquarters REVISION F**

**Washington, DC 20546 April 26, 2000**

**Code M**

**Correspondence and**

**Action Tracking Process**

**Code M**

**Correspondence and Action Tracking Process**

**Approved and signed by**

**Joseph H. Rothenberg**

**Associate Administrator**

**Office of Space Flight**

**DOCUMENT HISTORY LOG**

+---------+--------+--------+-----------------------------------------+
| **S     | **Docu | *      | **Description**                         |
| tatus** | ment** | *Effec |                                         |
|         |        | tive** |                                         |
| **(D    | **Revi |        |                                         |
| raft/** | sion** | **     |                                         |
|         |        | Date** |                                         |
| **Base  |        |        |                                         |
| line/** |        |        |                                         |
|         |        |        |                                         |
| **Revi  |        |        |                                         |
| sion/** |        |        |                                         |
|         |        |        |                                         |
| **Canc  |        |        |                                         |
| eled)** |        |        |                                         |
+---------+--------+--------+-----------------------------------------+
| B       |        | 12-1   |                                         |
| aseline |        | 4-1998 |                                         |
+---------+--------+--------+-----------------------------------------+
| R       | A      | 04-1   | Revised as a result of the DNV          |
| evision |        | 6-1999 | Pre-Registration Audit. Changed Section |
|         |        |        | 7 to agree with Retention Schedule of   |
|         |        |        | NPG 1441.1B.                            |
+---------+--------+--------+-----------------------------------------+
| R       | B      | 09-1   | Revised section 6 Flowchart Reference   |
| evision |        | 5-1999 | 5. This revision is a result of the DNV |
|         |        |        | Registration audit which identified a   |
|         |        |        | minor non conformance (NCN 01/1A).      |
+---------+--------+--------+-----------------------------------------+
| R       | C      | 11-    | Revised sections 5 & 6 to describe the  |
| evision |        | 5-1999 | action tracking process in greater      |
|         |        |        | detail. Also changed Section 7.         |
+---------+--------+--------+-----------------------------------------+
| R       | D      | 11-1   | Revised sections 5.3 and 6.3            |
| evision |        | 7-1999 |                                         |
+---------+--------+--------+-----------------------------------------+
| R       | E      | 4-     | Revised sections 5 & 6 to clarify       |
| evision |        | 5-2000 | escalation process for overdue actions, |
|         |        |        | deleted a Quality Record and included 2 |
|         |        |        | additional.                             |
+---------+--------+--------+-----------------------------------------+
| R       | F      | 4-2    | Clarified process Step 3.4 and          |
| evision |        | 6-2000 | corrected quality record in section 7.  |
+---------+--------+--------+-----------------------------------------+

**TABLE OF CONTENTS**

[PARAGRAPH]{.underline} PAGE

**1.0 PURPOSE 5**

2.0 SCOPE 5

3.0 DEFINITIONS 5

4.0 REFERENCES 5

5.0 FLOWCHART 6

5.1 INCOMING & RECEIVING MAIL CORRESPONDENCE 6

5.2 ADMINISTRATIVE PROCESSING OF MAIL CORRESPONDENCE 7

5.3 CORRESPONDENCE ACTION TRACKING 8

6.0 TRACKING CORRESPONDENCE AND ACTIONS PROCESS STEPS 9

6.1 INCOMING & RECEIVING MAIL CORRESPONDENCE 9

6.2 ADMINISTRATIVE PROCESSING OF MAIL CORRESPONDENCE 9

6.3 CORRESPONDENCE ACTION TRACKING 10

7.0 RECORDS 11

# **1.0 PURPOSE**

This OWI prescribes the activity steps required to track Code M
correspondence and actions addressed/assigned to the Associate
Administrator (AA) within the NASA Headquarters, Office of Space Flight.

The AA for the Office of Space Flight (OSF) is responsible for
maintaining this document. The controlled version of the manual is
available on the world wide web (WWW) via the HQ ISO 9000 Document
Library for the ISO 9000 QMS at *http://hqiso9000.hq.nasa.gov.* By
definition, any printed version of this OWI is uncontrolled. Any
proposed revision to this manual is submitted by the AA for OSF or his
designee. The AA for OSF or his designee, authorizes approval of the
revision after an internal review by the Document Control Board.

# **2.0 SCOPE**

The OWI process steps span activities that are initiated by the receipt
of mail, correspondence or action items, the tracking to closure, and
culminate in the response to that action. The process includes
monitoring and periodic reporting.

# 

# **3.0 DEFINITIONS**

The following definitions are offered to assist the user in
understanding the process described in this OWI.

[Correspondence]{.underline} Written communication

[Action]{.underline} An assignment requiring the completion of an
activity or response

[Action Officer]{.underline} The OSF official responsible for responding
to an action

[CIC]{.underline} The office at NASA Headquarters responsible for
tracking actions on behalf of the Administrator (i.e. Code CIC)

[Action Manager]{.underline} The person within the Office of Space
Flight responsible for administering the action tracking process on a
day-to-day basis.

# **4.0 REFERENCES**

The following documents contain provisions that, through reference in
this OWI or in policy or procedure documents, constitute the basis for
the documented procedure:

HQSM 1200.A.1 Headquarters Quality System Manual

5.  FLOWCHART

The correspondence & Action Tracking Process is comprised of 3
subprocesses that interrelate & are dependent upon each other. The 3
subprocesses are:

1.  Incoming & Receiving Correspondence

2.  Administrative Processing of Mail Correspondence

3.  Correspondence Action Tracking

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1.  **Incoming & Receiving Mail Correspondence**

> ![](media/image2.wmf)
>
> **5.2 Administrative Processing of Mail Correspondence**

![](media/image3.wmf)

> **5.3 Correspondence Action Tracking**
>
> **[ACTIONEE]{.underline}**
>
> ![](media/image4.wmf)

# **6.0 TRACKING CORRESPONDENCE AND ACTIONS PROCESS STEPS**

It is essential that Code M provide a quality response to correspondence
in a timely manner. This requires the careful handling of mail received
from internal as well as external sources. The process includes several
checks and balances to ensure the delivery of a quality response.
Similarly, specific actions resulting from correspondence received, or
service requested must be tracked to ensure timely completion. The
process is composed by a series of activities described below.

**6.1 Incoming & Receiving Correspondence**

[Actionee]{.underline} [Flowchart Reference]{.underline}
[Action]{.underline}

Code M Action Manager 1.1 Retrieve mail from Code CIC (Room 9S56)

> or OSF Mailbox (Room7B34), distribute incoming mail to appropriate
> mail slots (with the exception of the AA's mail)

Code M Action Manager 1.2 Open AA's Mail and review/read it

Code M Action Manager 1.3 Affix receipt stamp to original & determine
type of

> correspondence, i.e Info or Action.

NOTE: Actions may be received directly from OSF action officers. These
enter the process at this point and are tracked like all other actions.

Code M Action Manager 1.4 Identify subject and recipients for
correspondence that

has been evaluated and determined to be for information

only.

Code M Action Manager 1.5 Create an entry in the Action Tracking Log to

> include the identification of the office assigned action, the action
> tracking number and the due date. The due date is 10 working days from
> the date it is received in the mail center, unless in the letter, the
> writer or author is asking for a response by a particular date.

Code M Action Manager 1.6 Complete the information on the receipt

stamped original correspondence by transferring the numbers and
identification data from the log.

**6.2 Administrative Processing of Mail Correspondence**

Code M Action Manager 2.1 Make copies of the correspondence as

appropriate to prepare for distribution.

Code M Action Manager 2.2 Assemble packages for distribution

Code M Action Manager 2.3 Distribute all Informational mail and

Actions as appropriate

Code M Action Manager 2.4 Complete end-of-day processing. This

includes preparing a complete package of all the incoming mail that was
logged in for the day and distributing to the AA and DAAs

Code M Action Manager 2.5 Maintain correspondence and action files.
Correspondence is maintained as delineated in

Section 7.

Code M Action Manager 2.6 Maintain Action Tracking Log. The log is

updated whenever notice is received. Such notices may include a
redesignation of the action office, a notice of due date extension, or
the completion of the action. Reference to the action log indicates
current action status.

> Code M Action Manager 2.7 Report Action Status. Several action status
>
> reports are prepared to assist in ongoing action management; OSF
> Actions Overdue (see step 3.5) and the Daily Action Status Report.
> These reports are sent to OSF Senior management (AA and the DAAs)
> weekly and reviewed at the weekly OSF Tag-up meetings.
>
> Appropriate action is determined by the AA or his designee to address
> overdue actions.

**6.3 Correspondence Action Tracking**

Action Officer 3.1 The action officer, upon receiving the incoming

> correspondence action, becomes responsible for
>
> preparing the response. If the action officer completes
>
> the action within the specified time period, he proceeds
>
> to Step 3.2. If the action officer believes he cannot
>
> meet the specified time period he proceeds to Step 3.3.

Action Officer 3.2 The action officer, having completed the assigned

> correspondence within the specified time, forwards the
>
> action response to the action manager and action is
>
> "closed".

Action Officer 3.3 The action officer must advise the DAA of the need to

extend the response period with appropriate justification

for extension & recommended new due date. If approval to extend the due
date is granted, actionee proceeds to Step 3.4. The first extension can
be

> granted verbally, subsequent extensions will be
>
> documented in writing and signed by the DAA or his designee. If
> approval is not granted, the actionee proceeds to Step 3.2.

Action Officer 3.4 The action officer must advise the action manager of
the

> new due date and provide the written approval by the
>
> DAA or designee (if this is the second extension) to the
>
> action manager for updating the action tracking log.
>
> Note: If closure is not accomplished by the latest due
>
> date, process continues to step 3.5.

Action Manager 3.5 The action manager notifies the AA that the action is
not

> closed . This notification is done via an OSF overdue
>
> actions report presented at the weekly OSF "Tag-ups"
>
> (see step 2.7).

# 

# 

# 7.0 RECORDS

+-------------------+----+-------+-----------+---------+---------------+
| RECORD            | O  | LOC   | RECORD    | S       | RETENTIO      |
| IDENTIFICATION    | WN | ATION | MEDIA:    | CHEDULE | N/DISPOSITION |
|                   | ER |       |           | NUMBER  |               |
|                   |    |       | E         | AND     |               |
|                   |    |       | LECTRONIC | ITEM    |               |
|                   |    |       | OR HARD   | NUMBER  |               |
|                   |    |       | COPY      |         |               |
+-------------------+----+-------+-----------+---------+---------------+
| Completed Action  | M  | M     | Hardcopy  | S       | Destroy when  |
| Document          |    |       |           | chedule | 2 yrs old.    |
|                   |    |       |           | 10 4C   |               |
+-------------------+----+-------+-----------+---------+---------------+
| Action Tracking   | M  | M     | Hardcopy  | S       | Destroy or    |
| Log               |    |       |           | chedule | delete when   |
|                   |    |       |           | 1       | no longer     |
|                   |    |       |           |         | needed.       |
|                   |    |       |           | 78C     |               |
+-------------------+----+-------+-----------+---------+---------------+
| OSF Overdue       | M  | M     | Hardcopy  | S       | Destroy or    |
| Actions           |    |       |           | chedule | delete when   |
|                   |    |       |           | 1       | no longer     |
|                   |    |       |           |         | needed.       |
|                   |    |       |           | 78C     |               |
+-------------------+----+-------+-----------+---------+---------------+
| OSF Pending       | M  | M     | Hardcopy  | S       | Destroy or    |
| Actions           |    |       |           | chedule | delete when   |
|                   |    |       |           | 1       | no longer     |
|                   |    |       |           |         | needed.       |
|                   |    |       |           | 78C     |               |
+-------------------+----+-------+-----------+---------+---------------+