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  -------------------------------- ------------------------ --------------
  **APPROVAL SIGNATURES**                                   **DATE**

  Greg Blaney (original signature  IMS Representative       12/17/2008
  on file)                                                  

  []{.mark}                                                 
  -------------------------------- ------------------------ --------------

+--------+---------------------------------+------------+-------------+
| **RE   |                                 |            |             |
| VISION |                                 |            |             |
| HIS    |                                 |            |             |
| TORY** |                                 |            |             |
+--------+---------------------------------+------------+-------------+
| Re     | Description of Change           | Author     | Effective   |
| vision |                                 |            | Date        |
+--------+---------------------------------+------------+-------------+
| Basic  | Initial Release                 | John       | 05/01/1998  |
|        |                                 | Griggs     |             |
|        |                                 | IT/204     |             |
+--------+---------------------------------+------------+-------------+
| A      | Section 2.0,3.0,5.0 And 6.0     | Siamak     | 07/23/1998  |
|        | were modified and added flow    | Yassini    |             |
|        | chart.                          | IT/332     |             |
+--------+---------------------------------+------------+-------------+
| B      | Quality Record - format change, | Siamak     | 08/26/1998  |
|        | modified section 2.2            | Yassini    |             |
|        |                                 | IT/332     |             |
+--------+---------------------------------+------------+-------------+
| C      | Consolidated forms              | Siamak     | 01/28/1999  |
|        |                                 | Yassini    |             |
|        |                                 | IT/332     |             |
+--------+---------------------------------+------------+-------------+
| D      | References to Ames Quality      | Siamak     | 09/10/1999  |
|        | Manual replaced with references | Yassini    |             |
|        | to IV&V Facility Quality Manual | IT/332     |             |
|        |                                 |            |             |
|        | Updated Section 5.1.4 & 6.1.2   |            |             |
+--------+---------------------------------+------------+-------------+
| E      | Adding Track wise automated     | Siamak     | 03/30/2000  |
|        | tool section 3.3                | Yassini    |             |
|        |                                 | IT/332     |             |
+--------+---------------------------------+------------+-------------+
| F      | Format and Number changes;      | John       | 12/06/2000  |
|        | Delete Reference to Ames        | Griggs     |             |
|        | Research Center                 |            |             |
+--------+---------------------------------+------------+-------------+
| G      | Significant re-write to         | John       | 04/03/2001  |
|        | accommodate current process     | Griggs     |             |
+--------+---------------------------------+------------+-------------+
| H      | Revise severity codes to define | John       | 09/13/2001  |
|        | "immediate", also require       | Griggs     |             |
|        | corrective action plans         |            |             |
+--------+---------------------------------+------------+-------------+
| I      | Revise to include lower tier    | John       | 06/06/2002  |
|        | action tracking systems, and to | Griggs     |             |
|        | modify the automated flow to    |            |             |
|        | allow staff to enter CAR/PARs   |            |             |
+--------+---------------------------------+------------+-------------+

  --------------- ---------------------------------- ------------- --------------
  **REVISION                                                       
  HISTORY                                                          
  (CONTINUED)**                                                    

  Rev No.         Description of Change              Author        Effective Date

  J               Clarify initial assignment of      John Griggs   10/21/2002
                  CAR/PAR to Management                            
                  Representative; also clarify use                 
                  of IVV Form 1005 as backup to                    
                  Trackwise                                        

  K               Updated process flow to current    Brian         04/28/2004
                  flow practices; verbiage updated   Kesecker      
                  to meet new acronym and system                   
                  references (IMS)                                 

  L               Updated reference documents to add Stephanie     02/23/2005
                  form 1005, added section numbers   Ferguson      
                  in section 4.1 flow and updated                  
                  section 8                                        

  M               Add corrective action plan to      Stephanie     09/26/2005
                  Section 6.4                        Ferguson      

  N               Deleted definitions that were      Stephanie     01/10/2006
                  previously defined in the QM.      Ferguson      
                  Section 8 -- Updated the Records                 
                  table to reflect NPR 1441, NASA                  
                  Records Retention Schedules                      

  O               Deleted metric from Section 7.0    Stephanie     09/11/2006
                                                     Ferguson      

  P               Update process flow diagrams to    Stephanie     08/06/2007
                  align with Facility Management     Ferguson      
                  paradigm                                         

  Q               Deleted unnecessary definitions    Stephanie     01/09/2008
                  and removed the words              Ferguson      
                  administrative from section 3.5                  
                  and observation from section 4.1                 

  R               Remove references to PMR           Stephanie     05/05/2008
                                                     Ferguson      

  S               Removed the procedure requirement  Stephanie     09/17/2008
                  for lower-tier AI systems.         Ferguson      

  T               Changed "IV&V Facility" to "IV&V   Stephanie     12/17/2008
                  Program"                           Ferguson      

  []{.mark}       []{.mark}                          []{.mark}     []{.mark}
  --------------- ---------------------------------- ------------- --------------

  ----------------------------------- -----------------------------------
  **REFERENCE DOCUMENTS**             

  Document                            Title

  Form 1005                           Finding Report

  IVV QM                              IV&V Quality Manual

  IVV 16                              Control of Records

  NPR 1441.1                          NASA Records Retention Schedules

                                      
  ----------------------------------- -----------------------------------

1.  **Purpose**

> The purpose of this system level procedure (SLP) is to define the
> corrective and preventive action processes at NASA IV&V that track the
> identification and resolution of product and process nonconformities
> and Customer complaints.
>
> The processes include the formal Corrective and Preventive Action
> (CAR/PAR) System and lower-tier action tracking systems that support
> internal objectives.

2.  **Scope**

> This SLP applies to all nonconforming or potentially nonconforming
> processes, products, and services pursuant to the NASA IV&V Management
> System (IMS).

3.  **Definitions and Acronyms**

    Official NASA IV&V roles and terms are defined in the [Quality
    Manual](http://www.nasa.gov/centers/ivv/doc/170870main_IVV_QM.doc).
    Specialized definitions identified in this SLP are defined below.

    1.  **Assignee**

> The Assignee is the person assigned action for a corrective action
> request (CAR) or preventive action request (PAR) by the IMS
> Representative.

2.  **Corrective Action Plan**

> A Corrective Action Plan is a plan constructed to describe the course
> of action taken to resolve a CAR/PAR in the CAR/PAR System.

3.  **Corrective or Preventive Action Request (CAR/PAR)**

> A CAR/PAR is the documentation of a nonconformance or potential
> nonconformance, respectively. CARs/PARs can result from multiple
> activities or come from multiple sources (e.g., internal or external
> audits, actions from Program Management's review of the IMS, Customer
> complaints, etc.).

4.  **Initiator**

> The Initiator is any NASA IV&V personnel member working within the IMS
> who originates a CAR/PAR for change or improvement in the IMS.

5.  **Lower-Tier Action Tracking Systems**

> Research Management, Program Senior Management, and Resource
> Management Action Tracking Systems not requiring NASA IV&V access are
> used for the internal process of tracking action items (AIs),
> including delivery dates, etc. These systems support the CAR/PAR
> System, and issues that are systemic to NASA IV&V or issues that can
> affect the quality of NASA IV&V products are upgraded into the CAR/PAR
> System.

1.  **Research Management Action Tracking System**

> The Research Management group maintains an informal AI tracking
> database within the Center Initiative Management (CIM) Tool. The
> primary purpose of this database is to track the progress of
> day-to-day assignments and AIs.

2.  **Senior Staff Action Tracking System**

> The Senior Staff Action Tracking System tracks AIs generated from
> Senior Staff meetings. AIs from previous Senior Staff meetings are
> reviewed, dispositioned, and/or closed.

3.  **Resource Allocation Committee (RAC) Action Tracking System**

> The RAC Action Tracking System tracks AIs generated from RAC meetings.
> AIs from previous RAC meetings are reviewed, dispositioned, and/or
> closed.

6.  **Nonconformance**

> A nonconformance represents a lack of compliance with a specified
> process or procedure associated with the IMS, a nonconforming product,
> or a deficiency in the IMS. For the purposes of this SLP,
> nonconformities are categorized into three levels of severity.

1.  **Major Nonconformance**

> A major nonconformance is characterized by one or more of the
> following:

-   An IMS deficiency

-   An issued nonconforming product that has a significant effect on
    Customer success, safety, or resources

-   A lack of documented procedures

-   A documented procedure not being implemented consistently

-   A series of minor nonconformities indicating an overall IMS
    deficiency that has an adverse effect upon overall product quality

2.  **Minor Nonconformance**

> A minor nonconformance is characterized by a defined system with an
> acceptable level of implementation having one or more of the
> following:

-   Minor discrepancies or lapses in discipline

-   An issued nonconforming product with little or no effect on the
    Customer

3.  **Observation**

> One or more of the following characterize an observation:

-   An issue noted by an auditor that may lead to a major or minor
    nonconformance if not corrected

-   A suggestion to improve a process

-   Editorial corrections to a procedure (e.g., typing errors, spelling
    errors, etc.)

7.  **Acronyms**

> AI Action Item
>
> CAR Corrective Action Request
>
> CIM Center Initiative Management
>
> IMS NASA IV&V Management System
>
> NPR NASA Procedural Requirements
>
> PAR Preventive Action Request
>
> QM Quality Manual
>
> RAC Resource Allocation Committee
>
> SLP System Level Procedure

4.  **Process Flow Diagram**

> The following diagrams depict processes described in this document,
> and the responsibilities and actions that shall be performed by
> process participants. Any information supplemental to the depicted
> processes will appear after the diagram.
>
> ![](media/image1.wmf)
>
> If using Form 1005, *Finding Report*, the Initiator shall use the form
> located at <http://www.nasa.gov/centers/ivv/ims/forms/index.html>. The
> Initiator shall forward the completed Finding Report to the CAR/PAR
> Manager for action. The CAR/PAR Manager will enter this information
> into the CAR/PAR System when available and discard the completed
> Finding Report.
>
> If using the CAR/PAR System, the Initiator shall visit the tool
> located at
> [http://trackwise.ivv.nasa.gov](http://trackwise.ivv.nasa.gov/). The
> Initiator shall complete all fields on the CAR/PAR System "Action
> Item" form. The "Customer" and "Assigned To" fields must contain the
> name of the IMS Representative. The bottom-most drop-down list on the
> left side of the form must contain either "ISO Finding (CAR)" or "ISO
> Potential Problem (PAR)". These fields must be completed in order for
> the CAR/PAR to be processed.
>
> When documenting CAR/PAR resolutions in the CAR/PAR System, Assignees
> shall document the root cause of the issue, the action taken to
> correct it, and objective evidence that demonstrates resolution of the
> CAR/PAR.

1.  **Minor Nonconformance**

> A CAR with a minor nonconformance expected to require over thirty days
> to resolve requires an approved Corrective Action Plan within thirty
> days of assignment.

2.  **Major Nonconformance**

> A CAR with a major nonconformance requires a completed corrective
> action or an approved Corrective Action Plan within two weeks.

5.  **Metrics**

Any metrics associated with this SLP are established and tracked within
the NASA IV&V Metrics Program.

6.  **Records**

> The following records are generated and filed in accordance with this
> SLP and IVV 16, *Control of Records*, and in reference to NASA
> Procedural Requirements (NPR) 1441.1, *NASA Records Retention
> Schedules*.

  ------------ -------------- ----------- --------------- ---------------- ----------------
  **Record     **Original**   **Vital**   **Responsible   **Retention      **Location**
  Name**                                  Person**        Requirement**    

  CAR/PAR      Y              N           CAR/PAR Manager Destroy when 7   CAR/PAR System
                                                          yrs old          
                                                          (1/26.5A)        
  ------------ -------------- ----------- --------------- ---------------- ----------------