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**OFFICE WORK INSTRUCTION**

**APPROVE ESE OFFICE WORK INSTRUCTIONS**

**(Conforming to ISO 9001 Quality System Requirements)**

**Original Signed By:**

**Ghassem R. Asrar**

**Associate Administrator, Office of Earth Science**

**DOCUMENT HISTORY LOG**

+---------+--------+--------+-----------------------------------------+
| Status  | Do     | Eff    | Description                             |
|         | cument | ective |                                         |
| (Ba     |        |        |                                         |
| seline/ | Re     | Date   |                                         |
|         | vision |        |                                         |
| Re      |        |        |                                         |
| vision/ |        |        |                                         |
|         |        |        |                                         |
| Ca      |        |        |                                         |
| nceled) |        |        |                                         |
+---------+--------+--------+-----------------------------------------+
| B       |        | 11     |                                         |
| aseline |        | /30/98 |                                         |
+---------+--------+--------+-----------------------------------------+
| R       | A      | 5      | Added detail to procedure description.  |
| evision |        | /14/99 |                                         |
|         |        |        | Changed single QR to (1) signed         |
|         |        |        | concurrence sheet and (2) electronic    |
|         |        |        | source file.                            |
|         |        |        |                                         |
|         |        |        | Section 7.0: Changed QR disposition     |
|         |        |        | from \"Destroy 30 days after            |
|         |        |        | expiration\" to \"Destroy when 2 years  |
|         |        |        | old\" per NPG 1441.1. Added NPG 1441.1  |
|         |        |        | reference.                              |
+---------+--------+--------+-----------------------------------------+
| R       | B      | 5      | Ammended title to avoid confusion with  |
| evision |        | /12/00 | ISO Project Office Quality System       |
|         |        |        | Document Manager OWIs. Revised Section  |
|         |        |        | 6, Step 5 to describe method to control |
|         |        |        | access to CYMIS.                        |
+---------+--------+--------+-----------------------------------------+
|         |        |        |                                         |
+---------+--------+--------+-----------------------------------------+

**PREFACE**

The NASA Office Work Instruction (OWI) for Approve Quality DocumentsESE
Office Work Instructions documents the tasks and activities in
conformance with the International Organization for Standardization's
(ISO) 9001 requirements for quality systems. The OWI supplements the
*NASA Strategic Plan*, the *NASA Strategic Management Handbook*, and
other higher level NASA directives, which form the basis for how NASA
conducts business.

This OWI is not intended to duplicate or contradict any other NASA
policy, procedures or guidelines, which currently exist. As such, the
OWI will reference prevailing documents where a topic is addressed and
existing coverage is deemed adequate. Additional information provided
within is intended to supplement existing documentation regarding
Headquarters (HQ) implementation of strategic and program/project
management, as well as HQ conformance with the ISO 9001 Quality
Management System (QMS) requirements.

**TABLE OF CONTENTS**

[PARAGRAPH]{.underline} PAGE

**1.0 Purpose [5](#purpose)**

2.0 SCOPE and Applicability [5](#scope-and-applicability)

3.0 DEFINITIONS [5](#definitions)

4.0 references [6](#references)

5.0 FLOWchart [7](#flowchart)

6.0 Procedure [8](#procedure)

7.0 QUALITY RECORDS [10](#quality-records)

Appendix A. ESE conventions for OWI Document History Log
[11](#appendix-a.-ese-conventions-for-owi-document-history-log)

Appendix B. ESE file naming conventions for OWI MS Word files
[12](#appendix-b.-ese-file-naming-conventions-for-owi-ms-word-files)

# 1.0 Purpose

This OWI documents the NASA Earth Science Enterprise (ESE) procedure for
reviewing and approving Office Work Instructions (OWIs).

# 2.0 SCOPE and Applicability

2.1 [Scope]{.underline}. The ESE procedure for approving an OWI includes
verifying the accuracy of the OWI, coordinating it among the ESE
divisions, and obtaining the ESE Associate Administrator's approval by
signature.

2.2 [Applicability]{.underline}. This work instruction for Approve
Quality DocumentsESE Office Work Instructions applies to the NASA Office
of Earth Science (OES, Code Y) offices and divisions. The Associate
Administrator for Earth Science is responsible for maintaining this
document. The controlled version of this OWI is available on the World
Wide Web (WWW) via the HQ ISO 9000 Document Library at
[http://hqiso9000.hq.nasa.gov]{.underline}. Any printed version of this
OWI is uncontrolled (reference: HCP 1400.1, *Document and Data
Control*). Proposed revisions will be accomplished by following HQOWI
1410-Y015, *Approve Quality Documents*.

# 3.0 DEFINITIONS

3.1 [Quality Record]{.underline}. Any ESE-accepted product that supports
the Quality Management System.

3.2 [Signature Authority]{.underline}. The designated management
representative with authority to approve ESE quality documents.

3.3 [Document]{.underline}. A statement or form in conventionally
written/electronic media, which presents policies, procedures, work
instructions, instructional materials made part, directly or by
reference, of the Quality Management System. Examples include OWIs and
training manuals which provide step-by-step or general instructions
stating how to perform specific duties.

3.4 [Document Control Board (DCB)]{.underline}. A board comprised of a
representative of each one of the Earth Science Enterprise divisions and
the enterprise representative to the agency implementation team/ISO
Project Office.

3.5 [ESE Document Manager]{.underline}. The person who administers the
Document Management System (DMS) for the Earth Science Enterprise.
Responsibilities include reviewing the draft document for format and
conformance to standards, coordinating internal OWI updates and reviews,
submitting new and revised documents to DMS, and serving as the ESE DCB
member.

3.6 [HQ Document Manager]{.underline}. The person who administers the
DMS for Headquarters, serves as the secretariat for the Document Control
Board, and maintains the Master List of Level 1, 2, and 3 documents.

3.7 [Limited Applicability]{.underline}. Applies to marking/using
superseded or obsolete documents; user must have documented authority to
use previous/obsolete documents or products.

3.8 [Maintaining Documentation]{.underline}. Providing storage,
distribution, reproduction, document revisions, replacement of documents
with the latest revisions, and disposition of obsolete and/or invalid
documents such as historical, limited applicability, and reference
documents for ESE OWIs.

3.9 [Office of Primary Responsibility (OPR) Director]{.underline}. The
division director of the Enterprise office responsible for preparing,
submitting for review and approval, and maintaining the accuracy and
currency of a given OWI, from baseline release through revisions.

3.10 OPR [Process Owner]{.underline}. The OPR Director or designated
representative to whom the OPR Director delegates responsibilities for
maintaining a particular OWI.

3.11 [Quality Management System]{.underline}. A management system which
defines and documents an organization's quality policy, quality
objectives, and commitment to quality.

# 4.0 references

The following document contains provisions that, through reference in
this OWI or in policy or procedure documents, constitutes the basis for
the documented procedure:

> HCP 1400.1 Headquarters Common Process "Document and Data Control"

# 5.0 FLOWchart

![](media/image2.wmf)The following flowchart depicts the procedure
described in Section 6. The outputs in boldface type represent the
quality records listed in Section 7.

# 6.0 Procedure

Code Y OWIs exist in the form of MS Word files. Each MS Word file
contains text and a flow chart. The flow chart is an embedded object,
copied from a source TopDown Flowcharter file. The ESE Document Manager
maintains an electronic library of the MS Word and TopDown source files.
This electronic library resides in the ISO 9000 area of the Code Y
Management Information System (CYMIS) Web site[^1]. CYMIS provides
controlled access to the OWI source files.

OWIs are created or revised in accordance with HCP 1400-1, *Document and
Data Control*. For revised OWIs, the ESE Document Manager may download
the MS Word file for the current version from DMS[^2]. Alternatively,
any Code Y employee may download the source files from CYMIS. The OWI is
then submitted for review, coordination, and approval as described
below.

The following table describes the flowchart of Section 5.

+--------------+----+--------------------------------------------------+
| Actionee     |    | Action                                           |
+--------------+----+--------------------------------------------------+
| OWI          | 1  | [Review and Coordinate Document]{.underline}.    |
| Author[^3]   |    | The OWI author forwards the electronic source    |
|              |    | file(s) for a new or updated OWI to the process  |
| OPR Process  |    | owner. The process owner establishes a review    |
| Owner        |    | team consisting of knowledgeable personnel from  |
|              |    | the OPR and other ESE divisions as appropriate.  |
| OPR Review   |    | The review team assesses the accuracy of the OWI |
| Team         |    | and provides any comments to the process owner.  |
|              |    |                                                  |
|              |    | If necessary, the process owner directs the      |
|              |    | author to make changes and resubmit. The process |
|              |    | owner reviews the resubmitted document to ensure |
|              |    | the changes were made correctly.                 |
|              |    |                                                  |
|              |    | When the OWI is ready for final approval, the    |
|              |    | process owner forwards the electronic source     |
|              |    | file(s) for the OWI to the ESE Document Manager. |
|              |    | The process owner also indicates which division  |
|              |    | directors should sign the concurrence sheet. At  |
|              |    | a minimum, the OPR Director shall sign the       |
|              |    | concurrence sheet.                               |
+--------------+----+--------------------------------------------------+
| ESE Document | 2  | [Prepare Document for Final                      |
| Manager      |    | Approval]{.underline}. The ESE Document Manager  |
|              |    | reviews the OWI for format and conformance to    |
| OPR Director |    | standards. HCP 1400.1, *Document and Data        |
|              |    | Control*, Appendix A provides the OWI template,  |
| Other        |    | and Appendix B provides the approved set of      |
| division     |    | flowchart symbols.                               |
| directors as |    |                                                  |
| appropriate  |    | The ESE Document Manager then prints the OWI,    |
|              |    | prepares a concurrence sheet, and obtains the    |
|              |    | OPR Director's signature on the concurrence      |
|              |    | sheet, as well as any other division director    |
|              |    | signatures as specified by the OPR Director. The |
|              |    | ESE Document Manager then forwards the printed   |
|              |    | OWI and concurrence sheet to the ESE Deputy      |
|              |    | Associate Administrator (AA).                    |
+--------------+----+--------------------------------------------------+
| ESE Deputy   | 3  | [Obtain Final Approvals]{.underline}. The Deputy |
| AA           |    | AA signs the concurrence sheet, and presents the |
|              |    | OWI to the AA for final enterprise approval. The |
| ESE AA       |    | AA provides final approval by signing the        |
|              |    | concurrence sheet.                               |
+--------------+----+--------------------------------------------------+
| OPR Process  | 4  | [Revise/Rework Document]{.underline}. If either  |
| Owner        |    | the Deputy AA or the AA does not concur, the ESE |
|              |    | Document Manager forwards their comments to the  |
| OWI Author   |    | process owner for incorporation into the OWI.    |
|              |    | The process owner directs the author to make the |
|              |    | changes. The process owner reviews the           |
|              |    | resubmitted document to ensure the changes were  |
|              |    | made correctly. Based on the extent of the       |
|              |    | changes and on concurrences previously obtained, |
|              |    | the process owner determines whether or not the  |
|              |    | OWI needs to be coordinated through other ESE    |
|              |    | divisions, or if only final approvals are        |
|              |    | needed.                                          |
+--------------+----+--------------------------------------------------+
| ESE Document | 5  | [Publish and Distribute]{.underline}. Once the   |
| Manager      |    | document has been signed and approved, the ESE   |
|              |    | Document Manager executes the following tasks:   |
|              |    |                                                  |
|              |    | -   *Finalize the OWI*. Open the OWI in MS Word  |
|              |    |     and complete the following steps:            |
|              |    |                                                  |
|              |    | ```{=html}                                       |
|              |    | <!-- -->                                         |
|              |    | ```                                              |
|              |    | -   If the source file contains revision         |
|              |    |     markings, accept all revisions and set       |
|              |    |     revision tracking off. Update the Table of   |
|              |    |     Contents by clicking on it and hitting       |
|              |    |     \[F9\]. Review the OWI and verify            |
|              |    |     formatting, pagination, and other aspects    |
|              |    |     that might be overlooked with revision       |
|              |    |     tracking activated.                          |
|              |    |                                                  |
|              |    | -   Check all headers (for example, both the     |
|              |    |     first and second page headers, and in the    |
|              |    |     headers of multiple sections). Set the       |
|              |    |     Effective Date, if any, to the date the AA   |
|              |    |     approved the OWI, and ensure the Revision    |
|              |    |     field is correct.                            |
|              |    |                                                  |
|              |    | -   Update the Document History Log by deleting  |
|              |    |     any rows reflecting internal Code Y          |
|              |    |     revisions, and completing the appropriate    |
|              |    |     BASELINE or REVISION row. Appendix A of this |
|              |    |     OWI presents ESE conventions for use of the  |
|              |    |     Document History Log.                        |
|              |    |                                                  |
|              |    | -   Save as, for example, Y001Baseline.DOC, or   |
|              |    |     Y001RevA.doc. Appendix B shows ESE naming    |
|              |    |     conventions for OWI source files.            |
|              |    |                                                  |
|              |    | ```{=html}                                       |
|              |    | <!-- -->                                         |
|              |    | ```                                              |
|              |    | -   *Submit the OWI to DMS*. Using a Web         |
|              |    |     browser, access DMS at                       |
|              |    |     [http://hqiso                                |
|              |    | 9000.ha.nasa.gov](http://hqiso9000.ha.nasa.gov/) |
|              |    |     and complete the following steps:            |
|              |    |                                                  |
|              |    | ```{=html}                                       |
|              |    | <!-- -->                                         |
|              |    | ```                                              |
|              |    | -   In DMS, select the menu option \"Submit      |
|              |    |     Draft\" (or if the OWI was previously        |
|              |    |     submitted, \"Submit Revised Draft\") to      |
|              |    |     enter identifying data for the OWI.          |
|              |    |                                                  |
|              |    | -   Deliver the MS Word file YxxxBASELINE.DOC to |
|              |    |     the HQ Document Manager by e-mail or         |
|              |    |     diskette. The HQ Document Manager converts   |
|              |    |     the Word file to Portable Document Format    |
|              |    |     (PDF), performs a review, and accepts or     |
|              |    |     rejects the PDF version into DMS in          |
|              |    |     accordance with HCP 1400-1, *Document and    |
|              |    |     Data Control*.                               |
|              |    |                                                  |
|              |    | ```{=html}                                       |
|              |    | <!-- -->                                         |
|              |    | ```                                              |
|              |    | -   *Upload the Final OWI Source Files to        |
|              |    |     CYMIS*. Access CYMIS and upload the final    |
|              |    |     OWI source files into the ISO 9000 area. OWI |
|              |    |     files in CYMIS are "read only" files. The    |
|              |    |     ESE Document Manager is responsible for      |
|              |    |     assuring that the current version of all     |
|              |    |     OWIs are uploaded into CYMIS. Access to      |
|              |    |     CYMIS is controlled by passwords.            |
+--------------+----+--------------------------------------------------+

# 7.0 QUALITY RECORDS

+--------------+---------+---------+-------+----------+-------------+
| RECORD       | OWNER   | L       | MEDIA | SCHEDULE | RETENTION / |
| ID           |         | OCATION |       | AND ITEM | DISPOSITION |
| ENTIFICATION |         |         | Elect | N        |             |
|              |         |         | ronic | UMBERS\* |             |
|              |         |         | or    |          |             |
|              |         |         | Har   |          |             |
|              |         |         | dcopy |          |             |
+==============+=========+=========+=======+==========+=============+
| Final OWI    | ESE     | Kept by | Elect | Schedule | Destroy     |
| Source       | D       | ESE     | ronic | 1, Item  | when 2      |
| File(s)      | ocument | D       |       | 26,      | years old.  |
|              | Manager | ocument |       | \"       |             |
|              |         | Manager |       | Internal |             |
|              |         |         |       | Ma       |             |
|              |         |         |       | nagement |             |
|              |         |         |       | Files.\" |             |
+--------------+---------+---------+-------+----------+-------------+
| Signed       | ESE     | Kept by | Har   | Schedule | Destroy     |
| Concurrence  | D       | ESE     | dcopy | 1, Item  | when 2      |
| Sheet        | ocument | D       |       | 26,      | years old.  |
|              | Manager | ocument |       | \"       |             |
|              |         | Manager |       | Internal |             |
|              |         |         |       | Ma       |             |
|              |         |         |       | nagement |             |
|              |         |         |       | Files.\" |             |
+--------------+---------+---------+-------+----------+-------------+

\* Quality Records are retained in accordance with the referenced
schedule and item numbers from NPG 1441.1, *NASA Records Retention
Schedules.*

# Appendix A. ESE conventions for OWI Document History Log

The following tables show example entries for the OWI Document History
Log.

OWI authors may use \"Draft\" and Arabic numerals to track interim
(internal ESE / pre-approval) changes:

+---------+--------+--------+-----------------------------------------+
| Status  | Do     | Eff    | Description                             |
|         | cument | ective |                                         |
| (Ba     |        |        |                                         |
| seline/ | Re     | Date   |                                         |
|         | vision |        |                                         |
| Re      |        |        |                                         |
| vision/ |        |        |                                         |
|         |        |        |                                         |
| Ca      |        |        |                                         |
| nceled) |        |        |                                         |
+---------+--------+--------+-----------------------------------------+
| Draft   |        | 12     | Draft for Code Y review and approval as |
|         |        | /21/98 | document's Baseline                     |
+---------+--------+--------+-----------------------------------------+
| Draft 1 |        | 12     | Minor edits to 1^st^ page of flow       |
|         |        | /22/98 | chart.                                  |
+---------+--------+--------+-----------------------------------------+
| Draft 2 |        | 12     | Added review steps to Activity 6 text.  |
|         |        | /23/98 |                                         |
+---------+--------+--------+-----------------------------------------+

For the approved baseline OWI, the ESE Document Manager deletes any rows
representing interim changes, and completes a row to designate BASELINE
and the effective date:

+---------+--------+--------+-----------------------------------------+
| Status  | Do     | Eff    | Description                             |
|         | cument | ective |                                         |
| Ba      |        |        |                                         |
| seline/ | Re     | Date   |                                         |
|         | vision |        |                                         |
| Re      |        |        |                                         |
| vision/ |        |        |                                         |
|         |        |        |                                         |
| Ca      |        |        |                                         |
| nceled) |        |        |                                         |
+---------+--------+--------+-----------------------------------------+
| B       |        | 12     |                                         |
| aseline |        | /30/98 |                                         |
+---------+--------+--------+-----------------------------------------+

For subsequent updates, OWI authors may use \"Draft\" and Arabic
numerals to track interim changes:

+---------+--------+--------+-----------------------------------------+
| Status  | Do     | Eff    | Description                             |
|         | cument | ective |                                         |
| (Ba     |        |        |                                         |
| seline/ | Re     | Date   |                                         |
|         | vision |        |                                         |
| Re      |        |        |                                         |
| vision/ |        |        |                                         |
|         |        |        |                                         |
| Ca      |        |        |                                         |
| nceled) |        |        |                                         |
+---------+--------+--------+-----------------------------------------+
| B       |        | 12     |                                         |
| aseline |        | /30/98 |                                         |
+---------+--------+--------+-----------------------------------------+
| Draft 1 |        | 01     | Added change control procedures.        |
|         |        | /15/99 |                                         |
+---------+--------+--------+-----------------------------------------+
| Draft 2 |        | 01     | Incorporated YB comments.               |
|         |        | /18/99 |                                         |
+---------+--------+--------+-----------------------------------------+

For the approved revision, the ESE Document Manager designates the
revision letter, summarizes the changes incorporated into the approved
revision, and deletes any rows representing interim changes.

+---------+--------+--------+-----------------------------------------+
| Status  | Do     | Eff    | Description                             |
|         | cument | ective |                                         |
| Ba      |        |        |                                         |
| seline/ | Re     | Date   |                                         |
|         | vision |        |                                         |
| Re      |        |        |                                         |
| vision/ |        |        |                                         |
|         |        |        |                                         |
| Ca      |        |        |                                         |
| nceled) |        |        |                                         |
+---------+--------+--------+-----------------------------------------+
| B       |        | 12     |                                         |
| aseline |        | /30/98 |                                         |
+---------+--------+--------+-----------------------------------------+
| R       | A      | 01     | Added change control procedures.        |
| evision |        | /20/99 |                                         |
+---------+--------+--------+-----------------------------------------+

#  Appendix B. ESE file naming conventions for OWI MS Word files

The following table shows an example progression of ESE OWI file names.
The "Yxxx" represents the OWI number, for example, a HQOWI 1410-Y015
source file name would begin with "Y015."

  ---------------------- ------------------------------------------------
  **Example File Name**  **Comments**

  Yxxx.DOC               Initial file name.

  YxxxRev1.DOC           First interim revision to the initial OWI,
                         pre-approval.

  YxxxRev2.DOC           Second interim revision to the initial OWI,
                         pre-approval.

  YxxxBaseline.DOC       Final, approved baseline version / source file
                         for DMS submission.

  YxxxBaselineR1.DOC     First interim revision to the baseline OWI,
                         pre-approval.

  YxxxBaselineR2.DOC     Second interim revision to the baseline OWI,
                         pre-approval.

  YxxxBaselineR3.DOC     Third interim revision to the baseline OWI,
                         pre-approval.

  YxxxRevA.DOC           Approved revision / source file for DMS
                         submission.

  YxxxRevAR1.DOC         First interim revision to Revision A.

  YxxxRevAR2.DOC         Second interim revision to Revision A.

  YxxxRevB.DOC           Approved revision / source file for DMS
                         submission.
  ---------------------- ------------------------------------------------

[^1]: A CYMIS redesign effort is underway. When completed, the name will
    change to Earth Science eXtranet (ESX).

[^2]: DMS only allows the user who submitted a document to download the
    Word version, while any user may download the (uneditable) PDF
    version. Also, DMS does not store the TopDown flowcharter file.

[^3]: The process owner may author or update the OWI, or may delegate
    author and update responsibility to support staff. This procedure
    description assumes delegation to an author.