# Presentation: 658182

## GSFC QMSManagement Review06/01/2002 -- 09/30/2002

**Richard Day****	**
**Management Representative**
**November 25, 2002**

## Agenda

- QMS Performance this Period
- Action Item Status
- Customer Feedback
- August Registration Audit Results/Status
- QMS Planning - Requirements & Opportunities

## GSFC QMS Performance06/01/2002 -- 09/30/2002

## Internal Quality Audits

- FY 02
- 18 Internal Audits performed
- 29 NCR’s written
- 0 Internal Audits performed this period
- Scheduled project audits re-scheduled at Code 400 request
- Scheduled Directorate/Staff Office level audits postponed due to delay of ISO 9001:2000 transition
- WFF audits reduced in favor of less frequent, more comprehensive audits (approx. 2/year)

## Internal Audit Schedule

## Overdue NCR Activity

- Overdue NCR Activity (as of 11/21/02):
- Follow-up action required:  12
- Past Corrective Action Date:  7
- No Activity
- VCL:            2 (149, 205 days)  MAP tracker, Wave plates
-  Code 900:    1 (65 days)  Laser safety N-159 Hanger
- ASTRO-E2:  2 (50, 58 days)  Connector certs missing, 		        FEA performance anomaly
- SSPP:            1 (22 days)  Next Generation GAS                      communications anomaly during TV
- MSPO:          1 (18 days)  Hundreds of documents do not                      meet GPG 1410.2 expiration date                      requirement

## Internal & Registration Audit ISO Process NCRs

## Internal & Registration Audit NCR’sFY00-on (after initial registration audit)

## Open Internal & Registration Audit NCR’sFY00-on (after initial registration audit)

**Open Internal & Registration Audit NCR’s****FY00-on (after initial registration audit)**

## Internal & Registration Audit NCR’s Cause Codes  -  QMS Processes

## Internal & Registration Audit NCR’s Cause Codes  -  QMS Processes

**Internal & Registration Audit NCR’s ****Cause Codes  -  QMS Processes**

## Product & Process NCR’s

## Open Product & Process NCR’s

## Product & Process NCR Disposition (number)

## Product & Process NCR Disposition (percentage)

**Product & Process NCR Disposition (percentage)**

## Product & Process NCR DispositionReporting Period

## QMS Management Review Action Items

## QMC2002-00024(closed)

_**Action**_**:  *****From 5/28/02 review***** **–** **Investigate reasons for and any warranted corrective action for recent spike in reported percentage of "use-as-is" dispositions on product NCRs.
_**Assigned to**_**:  **Code 500
_**Status**_**: **Closed.** **
- Analysis revealed no systemic issues.  Spike probably due to increased SWIFT and HST activity during period.
- Several “use-as-is” NCR’s were for acceptable screened parts from non-conforming lots found during receiving inspection.

## QMC2002-00011(open)

_**Action**_**:  *****From 1/28/02 review***** – **In order to expedite closure, QMSR make presentation to Code 290 regarding mishap report referenced in customer complaint regarding **disruption of PG County Emergency Communications**.
- 	Action subsequently modified to: Code 200 expedite corrective action plan to close out complaint.
_**Assigned to**_**:  **Code 200
_**Status**_**:  **Open.
- Code 200 tracking action milestones to close-out.  Reported in Code 200 MSR’s.

## QMC2002-00012(open)

_**Action**_**:  *****From 1/28/02 review***** **–** **QMSR speak to Code 300 Director to expedite resolution of development of NCR data analysis tools.
_**Assigned to**_**:  **QMSR
_**Status**_**: **Open.**  **
- NCRCAS upgrade requirements under development by a team led by Codes 400/303 (1/10/03).
- Reviving popular features from old PFR system (esp. Major & Minor)
- Codes 295/302 preparing implementation plan (1/10/03).
- Center-level funding zeroed out in budget deliberations
**Need projects to stop funding separate “feeder” systems and contribute to a workable system for all of GSFC**

## Customer Feedback

## Customer Feedback

- There is currently 1 open NCR entered as an external customer complaint.
**GNC-WFF2002081901** (**open 50 days**) Apparent high friction or partial binding discovered during post environmental functional testing of Balloon Gondola Solar Pointing System.  Customer: National Scientific Balloon Facility
**Status:  Replacement unit shipped to NSBF.**

## Customer Feedback

- Two external customer complaint NCR’s were closed during this reporting period
**CODE2902001100201** (**closed 7/2/02**)   PG County emergency communication infrastructure disruption.
- Based on the actions taken to date and those planned, it was agreed that the NCR could be closed.
**SWIFT2002082101 ** (**closed 9/27/02)**  7 rejected thermistors returned to GSFC from Spectrum Astro.
- Possible contamination causing poor ceramic coating adhesion on lead wires.  Cause unknown after troubleshooting.  Replacement parts provided.  Rejected parts re-classified for ground testing use only.

## GSFC ISO 9001:1994 Transition Audit to NQAAugust 13-16, 2002

## GSFC Transition Audit

- NQA Focus
- Procurement
- Supplier surveillance plans
- Credit card purchases
- Supplier selection/evaluation techniques
- Inspection and Test
- NQA Findings
- Ten nonconformities, two observations

## Corrective Action Plan

- NAS5-00047 COTR on job for a year without completing COTR training
- CA Plan (210) – Individual will be scheduled for training.  CO’s will be requested to determine training status of all temporarily delegated COTR’s.
- Status – Open.  Training completed; notice sent to C.O.’s requesting COTR training record check.
- Expected Completion – 1/31/03

## Corrective Action Plan

- Form 1680 not completed on completed contract NAS5-01098
- CA Plan (210) – Contract awarded before FAR 1680 requirement.  Exact timing of 1680 policy and previous evaluation guidelines will be researched and documented.  Suspected that cited contract falls outside 1680 requirement.
- Status - Open
- Expected Completion – 1/31/03

## Corrective Action Plan

- No system exists to capture supplier past performance data for non-hardware purchases below $100K.
- CA Plan (210) – Recommendations to be developed by 210 management and 200 Acquisition Support Team.  GPG 5100.2 will be updated as necessary.
- Status - Open
- Expected Completion – 1/15/03

## Corrective Action Plan

- Supplier problems documented in NCRCAS after receiving inspection are not used in evaluation of vendor past performance.
- CA Plan (210/230) – A review of supplier evaluation data will be conducted, including where post-receiving supplier problems should be captured.  Database programming and/or directives revision may be required.
- Status - Open
- Expected Completion – 1/31/03

## Corrective Action Plan

- COTR Surveillance Plan for NAS5-00047 is vague regarding surveillance strategies, contract risk, oversight/insight, guidance to TM’s and methods for gathering vendor performance. (Observation)
- CA Plan (210) – COTR has attended COTR training.  Cited plan will be revised to address shortcomings.  Existing plans will be sampled to assess quality.
- Status - Open
- Expected Completion – 1/15/03

## Corrective Action Plan

- Procurement organization has no approach for determining effectiveness of GSFC contractor oversight process. (Observation)
- CA Plan (210) – Division Management and Acquisition Support Team identifying solutions.
- Status - Open
- Expected Completion – 1/15/03

## Corrective Action Plan

- GPG 8700.4D requirement for IIRT assessment of 13 Systems Management Process Areas does not clearly address how the process is implemented for reviews early in the project life cycle.
- CA Plan (300) – Revision to GPG in process.
- Status - Open
- Expected Completion – 1/15/03

## Corrective Action Plan

- NCRCAS contains numerous major product NCR’s with insufficient root cause and cause correction.  Effectiveness determinations are re-inspections vs. an assessment of effective processes correction.
- CA Plan (300) – GPG 5340.2 and GPG 1710.1 revisions (both in GDMS review) include more appropriate major/minor nonconformity definitions for product.  NCRCAS will be modified to reflect re-definitions and to provide users data blocks in which to identify troubleshooting and other pre-disposition activities.
- Status - Open
- Expected Completion – 2/17/03

## Corrective Action Plan

- Receiving inspection results for P.O. S66611-G (Code 551) not entered into RITS.
- CA Plan (500/230) – Cited delivery inputs will be entered into RITS (Code 551).  A sample of deliveries will be analyzed to determine extent of problem with failure of personnel to input RITS data (Code 230).
- Status - Open
- Expected Completion – Initial RITS usage analysis by 10/31/02.  CA completion by 1/15/03.

## Corrective Action Plan

- Completed SSPP SEM-11 data sheets had no QA sign-off as required by local procedure.
- CA Plan (870) – Distributed GPG 5330.1 to project team pointing out WOA signature rules, including signature of procedures referenced by WOA.  Cited documents corrected and active WOA’s reviewed for proper work documentation.
- Status - Closed

## Corrective Action Plan

- SSPP SEM-11 battery system WOA missing numerous process step sign-offs.
- CA Plan (870) – Distributed GPG 5330.1 to project team pointing out WOA signature rules, including signature of procedures referenced by WOA.  Cited document corrected and active WOA’s reviewed for proper work documentation.
- Status - Closed

## Corrective Action Plan

- Inconsistencies between local procedures regarding QA approval of changes.
- CA Plan (SWIFT) – 410-PG-8730.3.1 and 410-PLAN-0018B reviewed and revised to eliminate inconsistencies.  Revision approved.
- Status - Closed

## Corrective Action Plan

- 3 of 6 HSTAR’s and 2 of 4 TSAR’s have exceeded due dates with no evidence of follow-up to ensure timely and effective closure.
- CA Plan (441) – The HSTAR Users Guide and TSAR Users Guide will be revised to reflect improved process for management of due date field, periodic review of HSTARs and TSARs, and extension requests.  Users shall receive training by 11/15/02.  Process validation by Jan. 03.  A PG will be written addressing overview of the anomaly process.
- Status – Open
- Expected Completion – 2/03/03

## QMS Planning

## QMS Planning

- Two factors to consider in QMS planning:
-  Current ISO Standard (9001:1994) expires Dec. 15, 2003
- All 9001:1994 certificates will expire at that time
- To maintain certification, GSFC must transition to new ISO Standard (9001:2000)
-  New NASA Management Systems Policy under consideration
- Freedom to Manage Initiative
- Draft NPD 1280.1 in Fred Gregory’s office for endorsement

- Current draft does not require ISO compliance or third party certification to any specific standard.
- However, Centers must describe (to Deputy Administrator) management systems and method of verifying effectiveness.
- Third party registration to ISO 9001:2000 or AS 9100 would meet the requirement
- A rigorous internal audit program and management reviews may be an acceptable alternative to third party registration
- Centers could invent their own unique management system standard that meets the minimum criteria

_**Draft**_** NPD 1280.1****Management Systems Policy**

## Draft NPD 1280.1Minimum Criteria forCenter Management Systems

- Insure customer focus and high performance for all operations
- Focus on results through procedures and practices
- Provide for management responsibility and accountability, performance requirements, and measurement by:
- Using organizations that are focused on results and creating value
- Demonstrating the management at all levels is committed to providing quality products and services, and is accountable for performance.
- Identifying customer and operational performance requirements
- Identifying clear performance measures
- Using periodic surveillance, audits, assessments, customer feedback, etc.
- Maintaining relevant records of progress in achieving results
- Determining the causes of potential discrepancies and taking action to prevent their occurrence, as appropriate
- Identifying, analyzing and correcting discrepancies

## Likely Field Center Decisions if draft NPD is adopted

- It is likely that all Centers currently certified to ISO 9001:2000 would not change their current direction
- This leaves GSFC, KSC, ARC and DFRC
- All are currently working toward ISO 9001:2000 certification in 2003.
- Of these, ARC is currently the most likely candidate to either drop ISO compliance and/or third party certification if given the choice.

## ISO 9001:2000 Pre-AssessmentCorrective Action Plan

- GSFC ISO 9001:2000 pre-assessment audit in May 2002
- NQA Findings/Discussion Indicate:
- Lack of a Center perspective on objectives and objectives measurement;
- Lack of a common understanding of the Center’s customers;
- Lack of customer feedback mechanisms and analysis;
- Lack of visible improvement efforts based upon data analysis (objectives metrics and customer feedback).

- Corrective Action Plan relies on documentation of:
- Center Performance Plans (with metrics) responsive to GSFC Strategic Plan strategies
- Goals and objectives (includes customer satisfaction)
- Transition audit previously scheduled for Feb 10-11 (WFF) and 12-14 (Greenbelt), 2003.
- GSFC cannot demonstrate ISO 9001:2000 compliance by Feb 2003.
- Delay transition audit until Aug 2003
- Feb 2003 audit to ISO 9001:1994
- Would not include a visit to WFF

**ISO 9001:2000 Transition****(Assumes no change in NASA QMS Policy)**

- GSFC needs a rigorous management system
- Connectivity to plans/objectives and measurement of results
- ISO standard has been a good guide to follow
- Responsive to the PQA/Baldridge criteria
- Use of ISO standard has addressed a number of key deficiencies identified in our self-evaluation for the PQA
- GSFC has grown to a new level of rigor and discipline
- Better understanding/adherence to processes, best practices
- Major investment in current ISO 9001 based QMS
- Employees need stable institutional systems so we can focus on NASA mission

**Value to GSFC of the****ISO 9001 based QMS**

## Pros & Cons ofThird Party Certification 

- Con:  Trap of trying to please the auditors
- Need to avoid this trap in future and focus on meeting the intent of the requirement for GSFC needs
- Con:  Audits are too subjective
- Lack of perspective of Federal Government and NASA/GSFC mission and challenges
- Pro:  Provides greater independence/objectivity
- Center has sufficiently independent internal organizations
- Participation from other Centers, registrars, etc. is possible
- Pro:  Forces discipline in requirements and timetable
- Appropriate rigor is possible without third party if QMSR and EC provide the necessary emphasis

## If draft NPD 1280.1 is approvedin near future . . . 

- _Recommendation_:
- Maintain current QMS in accordance with ISO 9001:1994.
- Incorporate ISO 9001:2000 requirements in a manner and schedule consistent with Center priorities and resources.
- Maintain and improve internal audit program to assure effectiveness of QMS policies and procedures.
- Increase analysis and decision capability of semi-annual QMS Management Review.
- Discontinue third party certification until such time as:
- Value becomes compelling
- Can demonstrate ISO 9001:2000 compliance.