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**DIRECTIVE NO.** [GPG 1710.1E]{.underline} **APPROVED BY Signature:**
[*Original Signed by*]{.underline}

**EFFECTIVE DATE:** [November 2, 1999]{.underline} **NAME**: [A. V.
Diaz]{.underline}

**EXPIRATION DATE:** [November 2, 2004]{.underline} **TITLE:**
[Director]{.underline}

**Preface**

P1. PURPOSE

This procedure establishes the process for initiating and implementing
corrective and preventive actions.

P2. APPLICABILITY

This procedure applies to all Goddard Space Flight Center (GSFC)
products and processes covered by the scope of the GSFC Quality
Management System (QMS).

P3. AUTHORITY

NPD 8730.3, NASA Quality Management System Policy (ISO 9000)

P4. REFERENCES

a.  Federal Acquisition Regulations (FAR)

b.  NASA Federal Acquisition Regulation Supplement (NFS)

c.  GPG 1060.1, Management Responsibility

d.  GPG 4520.2, Incoming Inspection and Test

e.  GPG 5100.2, Supplier Performance Evaluations

f.  GPG 5100.4, Supplier Quality Audits

g.  GPG 5340.2, Control of Nonconforming Product

h.  GPG 5340.3, Preparation and Handling of Alerts and Safe Alerts

i.  GPG 9980.1, Internal Audit System

P5. CANCELLATION

GPG 1710.1D, Corrective and Preventive Action

P6. RECORDS

  ---------------------------- --------------------- ---------------------
  **Quality Record Title**     **Record Custodian**  **Retention**

  NCR/CA database              Maintained by Code    NRRS 5/30B \-- Close
                               302 and accessible to file at end of
                               on-site employees and survey/audit at end
                               contractors           of FY. Destroy when 9
                                                     years old.
  ---------------------------- --------------------- ---------------------

**Procedure**

1\. DEFINITIONS

a.  Product Design Lead (PDL) - The manager or leader with overall
    responsibility for managing the design activity, managing the
    technical and organizational interfaces identified during design
    planning, and where required, forming and leading the Product Design
    Team (PDT). The term refers to flight project managers, mission
    managers, instrument managers, subsystem technical managers,
    integrated product development team leaders, lead engineers, etc.

b.  Nonconformance - Non-fulfillment of a specified requirement.
    Nonconformances requiring corrective action are documented as
    Nonconformance Reports (NCR\'s) in the NCR/CA database.

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c.  Nonconformance Lead (NCL) -- An individual identified within the
    NCR/CA system (see GPG 5340.2) who has the authority and
    responsibility to process NCR\'s initiated against his/her assigned
    project/organization.

d.  Audit Contact -- The representative of an audited
    organization/function who is the primary point of contact with the
    Lead Auditor. For internal audits he/she is the NCL, or designates
    the NCL, for NCR\'s resulting from the audit.

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e.  Corrective Action (CA) -- Action taken, including remedial action,
    to eliminate the causes of an existing nonconformity in order to
    prevent recurrence.

f.  Remedial Action -- Identification and correction of previously
    accepted or current product affected by, but not immediately
    associated with, an identified nonconformance.

g.  Preventive Action - Action taken to eliminate the causes of a
    potential nonconformity in order to prevent occurrence.

h.  NCR/CA Database -- An inter-active on-line database used to document
    and track the status of NCR\'s and associated corrective actions
    (CA).

i.  Quality Management System Council (QMSC) - A group of
    representatives from all cognizant GSFC Directorates, chaired by the
    Quality Management System Representative (QMSR), responsible for
    advising the QMSR regarding Quality Management System
    administration, maintenance, status reporting, and corrective
    action.

2\. IMPLEMENTATION

2.1 Corrective Action

1.  Corrective action shall be determined and implemented for NCR\'s
    which meet one or more of the following criteria:

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a.  The nonconformance was discovered as a result of an internal or
    supplier audit;

b.  The nonconformance was identified via a customer complaint;

c.  The nonconformance documents a violation of QMS process(es);

d.  The nonconformance occurred on-orbit;

e.  The nonconformance affects personnel or system safety;

f.  The nonconformance is classified as major in accordance with
    project/organization definitions (see GPG 5340.2).

The corrective action shall define the actions to be taken, action
responsibility, and a schedule for completion and follow-up verification
of corrective action.

2.  Regardless of product disposition, nonconformances generated as a
    result of incoming inspection and test (see GPG 4520.2) shall, as a
    minimum, be provided by the NCL through the GSFC Contracting Officer
    to the applicable supplier for the supplier's information. If the
    nonconformance in such cases meets one or more of the criteria
    above, the NCL shall request (through the GSFC Contracting Officer)
    the supplier to provide documented corrective action to GSFC. The
    GSFC NCL is responsible for entering supplier corrective action
    responses into the NCR/CA system. Supplier-oriented NCR's and
    corrective action responses shall be considered during supplier
    performance evaluation in accordance with GPG 5100.2.

Note: The above requirement shall be implemented in a manner consistent
with the FAR rules concerning inspection and acceptance, as well as the
provisions of the applicable contract (FAR Part 46 and NFS 1846).

3.  For NCR's documenting product nonconformances, corrective action
    (when required by 2.1.1) shall be determined, documented and
    approved in the NCR/CA database by the responsible NCL.

Corrective action for customer complaints received after dissolution of
a Project, shall be determined, documented and approved in the on-line
NCR/CA database by the cognizant Directorate organization.

Determination of remedial action shall include consideration of
preparation of an Alert/Safe Alert, in accordance with GPG 5340.3, when
applicable to the nonconformance.

2.1.4 For NCR's generated as a result of an internal audit (see GPG
9980.1), the designated NCL shall determine, document and approve
corrective action in the NCR/CA database. For NCR\'s generated as a
result of supplier audits (see GPG 5100.4), the applicable GSFC Lead
Auditor is responsible for assuring that the supplier\'s corrective
action responses are entered into the NCR/CA database.

2.1.5 Follow-up verification of corrective action implementation and
effectiveness shall be scheduled and approved by the NCL in the NCR/CA
system. The need for and performance of independent follow-up corrective
action verification of internal audit NCR's shall be determined by the
Lead Auditor in accordance with GPG 9980.1.

2.1.6 An NCR that requires corrective action is considered closed when
corrective action has been verified as being implemented and effective.

2.1.7 The Chief, Code 302 Systems Safety and Reliability, shall monitor
nonconformances and corrective actions for cross-organizational problem
areas and make applicable recommendations to the QMSC for inclusion in
Management Review of the Quality Management System (see 2.2.2).

2.2 Preventive Action

1.  The Chief, Code 302, shall retrieve appropriate data from the NCR/CA
    database for analysis to determine the nature and extent of systemic
    problems, trends, and patterns in nonconformances and

corrective actions. Results shall be provided to the QMSC for inclusion
in Management Reviews (see GPG 1060.1).

2.2.2 Results of the analysis of NCR/CA data, and associated preventive
action recommendations from the QMSR, shall be presented at Center
management reviews of the QMS in accordance with GPG 1060.1.

2.2.3 The Center Director shall determine what, if any, action item(s)
for preventive action shall be initiated. These actions, including
responsibilities and schedules, shall be recorded as part of the
Management Review (see GPG 1060.1).

2.2.4 Unless otherwise indicated by the action item, preliminary results
of the action item shall be submitted to the QMSC for review and
follow-up verification of effectiveness. The QMSC shall prepare the
final action item response and submit it to the Center Director for
approval.

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# CHANGE HISTORY LOG

+-----------+---------+------------------------------------------------+
| **R       | *       | **Description of Changes**                     |
| evision** | *Date** |                                                |
+-----------+---------+------------------------------------------------+
| Baseline  | 0       |                                                |
|           | 8/12/98 |                                                |
+-----------+---------+------------------------------------------------+
| A         | 1       | Header and footer changes. Added 2.1.5 and     |
|           | 0/06/98 | indicated responsibility for NCR/CA data       |
|           |         | retrieval and analysis in 2.2.1. Identified    |
|           |         | responsibilities for maintenance of quality    |
|           |         | records.                                       |
+-----------+---------+------------------------------------------------+
| B         | 0       | Modified records identified in P6 and          |
|           | 4/21/99 | reflected the NCR/CA database\'s               |
|           |         | accessibility. Extensive format and content    |
|           |         | changes (primarily section 2.1). Deletion of   |
|           |         | MRB references. Addition of NCL references.    |
|           |         | Expanded details of corrective action for      |
|           |         | supplier audit NCR\'s. Added Note in 2.1.2.    |
|           |         | Added QMSC definition. Deleted redundant       |
|           |         | \"Determine remedial action\" block in         |
|           |         | flowchart. Modified 2.2.2 to indicate          |
|           |         | preventive action recommendations come from    |
|           |         | the QMSR.                                      |
+-----------+---------+------------------------------------------------+
| C         | 0       | Re-titled P4(d); added P4(e); P6 - revised     |
|           | 6/23/99 | retention period for NCR/CA records consistent |
|           |         | with GPG 5340.2; 1(d) and 1(f) revised to      |
|           |         | eliminate reference to \"defect\" and          |
|           |         | \"undesirable situation\"; revised 2.1.1 for   |
|           |         | consistency with GPG 5340.2; 2.1.2 & 2.1.4 -   |
|           |         | added reference to GPG 5100.4; 2.1.5 added     |
|           |         | \"internal\" before \"audit NCR\'s\"           |
+-----------+---------+------------------------------------------------+
| D         | 0       | P1 - changed \"procedure\" to \"process\".     |
|           | 8/18/99 | Revised last sentence of 2.1.1 to remove       |
|           |         | \"when actions are to be initiated\". P6 -     |
|           |         | Added parenthetical to Preventive Action       |
|           |         | Action Items record. 2.1.1(e) - re-added       |
|           |         | safety impacts to corrective action criteria   |
|           |         | list. Added \"End\" bubbles to flowchart.      |
+-----------+---------+------------------------------------------------+
| E         | 1       | P4 - Added reference to GPG 4520.2             |
|           | 1/02/99 |                                                |
|           |         | P6 - removed Preventive Action Action Items    |
|           |         | from quality records table.\                   |
|           |         | 2.2.1 - Analysis provided to QMSC rather than  |
|           |         | QMSR.                                          |
+-----------+---------+------------------------------------------------+