Independent Verification & Validation Program Document Control




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Independent Verification & Validation Program

Document Control

IVV 05

Version: AG

Effective Date:

January 31, 2013




DOWNLOADED AND/OR HARD COPY UNCONTROLLED

Verify that this is the correct version before use.




AUTHORITY

DATE

Jeffrey Northey (original signature on file)

IMS Manager

01/30/2013

Richard Grigg (original signature on file)

Process Owner

01/29/2013













REFERENCE DOCUMENTS

Document

Title

Form 1000

Document Change Request

IMS Master List

http://www.nasa.gov/centers/ivv/ims/masterlist/index.html

ISO 9001:2008

International Organization for Standardization: Quality Management Systems Requirements

IVV QM

NASA IV&V Quality Manual

IVV 10

Software and Hardware Configuration Management

IVV 16

Control of Records

NPR 1441.1

NASA Records Retention Schedules

T2002

System Level Procedure Template

T2003

Work Instruction Template

T2004

Template/Supporting Document Template







If any process in this document conflicts with any document in NODIS, this document shall be superseded by the NODIS document. Any reference document external to NODIS shall be monitored by the Process Owner for current versioning.

  1. Purpose

The purpose of this system level procedure (SLP) is to establish a consistent method for preparation, approval, issuance, revision, cancellation, tracking, and maintenance of NASA IV&V Management System (IMS)-controlled documentation.




  1. Scope

This SLP is applicable to all documentation that pertains to the IMS. This includes all documents specifically designated as IMS Documents, which include all SLPs, Work Instructions (WIs), templates, supporting documents, and forms.




  1. Definitions and Acronyms

Official NASA IV&V roles and terms are defined in the Quality Manual. Specialized definitions identified in this SLP are defined below.




    1. Document Change Request (DCR) Log

The DCR Log is a spreadsheet used by the Document Control Custodian (DCC) to track DCRs. The DCR Log captures information including the assigned DCR number, DCR number assignment date, IMS Document number and name, approval date, and Process Owner (PO). The DCR Log helps to ensure that there is only one DCR open per IMS Document at a time.




    1. Document Change Request Originator (DCR Originator)

A DCR Originator is any NASA IV&V civil service or contract employee who requests an addition, revision, or cancellation of an IMS Document.




    1. Document Package

The Document Package consists of the DCR and copies of the Review Drafts that contain reviewer comments.




    1. Document User

A document user is any NASA IV&V civil service or contract employee who uses the IMS and is covered by the NASA IV&V Program’s International Organization for Standardization (ISO) 9001:2008 certification.




    1. IMS Documents

IMS Documents are all IMS SLPs, WIs, templates, supporting documents, and forms.




    1. Review Draft

A Review Draft is a copy of a revised IMS Document that is evaluated in accordance with this SLP.




    1. Reviewer

A Reviewer is anyone who reviews a revised or new IMS Document or a cancellation request. Types of Reviewers may include: Peer Reviewer, Technical Reviewer, and Records Reviewer. The document PO and the Approving Official also serve as Reviewers providing input and approval during the document change process.





    1. Acronyms

CAR Corrective Action Request

DCC Document Control Custodian

DCR Document Change Request

ECM Enterprise Content Management

IMS NASA IV&V Management System

ISO International Organization for Standardization

NODIS NASA Online Directives Information Service

NPD NASA Policy Directive

NPR NASA Procedural Requirement

PAR Preventive Action Request

PO Process Owner

QM Quality Manual

SLP System Level Procedure

URL Uniform Resource Locator

WI Work Instruction




  1. Process Flow Diagrams

The following diagrams depict processes described in this document, and the responsibilities and actions that shall be performed by process participants or their designees.


Any information supplemental to a depicted process will appear after the diagram.


    1. Addition, Revision, or Cancellation of an IMS Document

This section applies to the addition, revision, or cancellation of IMS Documents, which includes: SLPs, WIs, templates, supporting documents, and forms.



The IMS Manager shall assign a PO for any new IMS Document. If necessary, the IMS Manager shall reassign POs for existing documents.


All documents added to or modified within the IMS must conform to the guidelines provided within the IMS Document templates: T2002, System Level Procedure Template; T2003, Work Instruction Template; and T2004, Template/Supporting Document Template.


      1. Initiating

The Document Change Request (DCR) Originator shall propose the addition, revision, or cancellation, of an IMS Document by completing Form 1000, Document Change Request. On the DCR, the Originator shall include the document number and title, as well as comments clearly identifying any modifications to be made, and the rationale for why these changes are being proposed. The Originator shall then forward the completed DCR to the DCC.




      1. Processing

The DCC shall save an electronic copy of the DCR in the IMS directory on the Enterprise Content Management (ECM) System. If the DCR is associated with a new IMS Document, the DCC will assign a document number and confer with the IMS Manager to assign a PO.


The DCC shall also specify Peer Reviewers. Only minor editorial updates to a document are exempt from the Peer Review process. In all other instances of addition, revision or cancellation to the IMS, the DCC shall designate on the DCR form one or more peers to perform the Peer Review. If the Process Owner is not an Office Lead, then the relevant Office Lead will be assigned as one of the Peer reviewers. If the DCR is associated with a Corrective Action Request (CAR) or Preventive Action Request (PAR), the DCC will specify that the CAR/PAR Originator is included as a Peer Reviewer, if not already part of the review/approval process.
The PO shall evaluate the DCR to determine if the DCR is acceptable and applicable.


        1. Acceptance

If the PO accepts the DCR, the PO will incorporate the modifications into the document, and return the modified document to the DCC. The DCC will prepare a document package. As part of the package preparation, the DCC will create a working subfolder in the IMS Documents folder on the ECM System as a place to store associated documents in electronic format.




        1. Rejection

If the PO rejects the DCR, the PO shall provide rationale for the rejection to the DCR Originator and DCC. For tracking purposes the DCC will document the rejection in the DCR Log.




      1. Peer Review

Peer Reviewers shall review and provide comments on the additions, revisions, or cancellation being proposed in the Review Draft. After commenting, they should sign the DCR and return the document package to the PO.


The PO shall evaluate the Peer Review comments and modify the document accordingly. If the PO decides not to address some or any of the Peer Review comments, he/she shall provide rationale to the Peer Reviewer(s) as to why the comments would not result in modifications to the document. After all modifications are completed, the PO shall sign the DCR and forward the Document Package to the DCC. The Review Draft from the PO may be in hard or electronic format.


      1. IMS Technical Edit Review

The DCC shall conduct a technical edit review of the draft IMS document. The technical edit review includes:




  • Review the IMS Modifications Needed Spreadsheet for any changes that need to be incorporated.




  • Inspection of the Review Draft for technical and grammatical deficiencies and make modifications where needed.




  • Review of the Records Table in Section 6.0, Records, to verify that all records pertinent to the documented process have been captured in the table, and that all records’ retention periods and locations are correct and up to date. The person who performed the Records Review shall sign the DCR.

If any modifications resulting from the technical edit review significantly alter the logic or process of the document, the DCC shall return the Review Draft to the PO for verification of correctness and approval. After addressing any such modifications, the PO shall return the Review Draft to the DCC.


Once the technical edit review is completed, the DCC shall sign the DCR and forward the document package to the Approving Official.


      1. Final Review

The Approving Official shall review the modifications proposed in the document package. If the Approving Official approves the document package (or approves with comments), he/she shall sign the DCR and forward the document package with any comments to the DCC for further processing.


If the Approving Official does not approve, he/she shall return the document package to the DCC for resolution.
The DCC shall modify the Review Draft, collaborating with the PO as needed to address the Approving Official’s concerns. The modified document package shall be returned to the Approving Official for further review.


      1. Final Processing

The approved Document Package will be delivered to the filing system mailbox for filing. The DCC shall post electronic copies of final versions of new and updated documents to the IMS electronic repository. If a cancellation is approved the DCC shall remove the prior posted documents and show the title as canceled; after a reasonable period the title shall be removed completely. The DCC shall update the IMS Master List, ISO Mapping Diagram, and IMS Reference Mapping Diagram as needed. The DCC shall publish the final draft, IMS Master List, ISO Mapping Diagram, and IMS Reference Mapping Diagram; and notify document users of all document updates via email.





    1. Controlled Versions

Electronic versions of documents made available through the IMS electronic repository are the official, controlled versions. Copies printed from these versions are considered uncontrolled and must bear a notice analogous to: “Verify that this is the correct version before use.”


The DCC shall verify that published documents match the current IMS Master List and shall resolve any discrepancy by auditing Master List revisions and the DCR Log. The DCC shall remove obsolete versions of all IMS Documents when posting revised documents to the IMS electronic repository.


    1. Controlling External Changes

All NASA and Center directives – i.e., NASA Policy Directives (NPDs) and NASA Procedural Requirements (NPRs) – are available electronically from the NASA Online Directives Information Service (NODIS) repository (http://nodis3.gsfc.nasa.gov). If any process in the IMS conflicts with any document in NODIS, the IMS Document shall be superseded by the NODIS document. Any reference document external to NODIS shall be monitored by the Process Owners (PO) for current versioning.




      1. Process Owner Monitoring

This process applies to all POs that use external documents in their IMS processes.


POs shall ensure that their IMS processes make reference to any external documents used in the enactment of those processes.
For a given external reference document:


  • If only the most current version of the document is applicable, the PO shall include only the source for verifying that current version (e.g., the publisher or document originator).

  • If any version of the document older than the most current version is applicable, the PO shall specify which revision of the document is being referenced.

The PO shall be responsible for monitoring all external reference documents captured in his/her IMS Documents in order to ensure that his/her IMS processes maintain correct references and proper adherence to applicable standards.




    1. IMS Annual Document Review

The IMS Annual Document Review is a control mechanism to ensure IMS documents are reviewed by their respective Process Owners (PO) on a regular basis to ensure accuracy of our process documents and for areas of potential improvement. The DCC shall inform POs of any modifications that have been noted in the IMS Modifications Needed Spreadsheet.


During the IMS Annual Document Review, POs shall review the IMS document(s) they own for at least the following:

  • Any inaccuracies

  • Any organizational changes affecting the document

  • Any process changes

  • Any metric changes

  • Any new or now obsolete external references

  • Any Reference Document changes including titles

  • Any links, URL’s, or email address changes

  • Any changes to databases or other data repositories used

  • Any potential areas of improvement

Refer to the IMS Master List to see details of who the PO is for each IMS document.




    1. Contingency Plan

If the IMS electronic repository file is temporarily inaccessible, document users shall contact the DCC to determine the current versions of documents and forms.




  1. Metrics

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




  1. Records

The following records will be generated or updated and filed in accordance with this SLP and IVV 16, Control of Records, and in reference to NPR 1441.1, NASA Records Retention Schedules.



Record Name

Original

Vital

Responsible Person

Retention Requirement

Location

DCR Log

Y

N

DCC

Destroy when 7 yrs old (1/26.5A)

ECM System

Document Package

Y

N

DCC

Destroy when 7 yrs old (1/26.5A)

Filing System

IMS Master List

Y

N

DCC

Destroy when 7 yrs old (1/26.5A)

IMS Web Site,

ECM System



IMS Reference Mapping Diagram

Y

N

DCC

Destroy when 7 yrs old (1/26.5A)

IMS Web Site,

ECM System



ISO Mapping Diagram

Y

N

DCC

Destroy when 7 yrs old (1/26.5A)

IMS Web Site,

ECM System





VERSION HISTORY

Version

Description of Change

Rationale for Change

Author

Effective Date

Basic

Initial Release




John Griggs IT/204

01/29/1998

A – O

Revision information older than 7-year retention period relocated to Version History Overflow Document




Various

04/30/1998 – 01/17/2006

P

Modified Section 4.0 flow and Section 6.1.3.2




Stephanie Ferguson

03/28/2006

Q

Modified Reference Documents, Section 2.0, Section 5.2, Section 6.1 to include new WI




Stephanie Ferguson

07/13/2006

R

Updated flow and Section 6.1.3.3 for clarity




Stephanie Ferguson

10/20/2006

S

Updated Section 5.2 due to the change in the annual document review process




Stephanie Ferguson

12/06/2006

T

Updated Sections 5.0 and 6.0 to include references to T2002, T2003, and T2004




Stephanie Ferguson

04/13/2007

U

Updated process flow diagrams to align with Facility Management paradigm




Stephanie Ferguson

01/18/2007

V

Updated Shared Network Drive links




Stephanie Ferguson

06/13/2008

W

Changed “IV&V Facility” to “IV&V Program”; updated Shared Drive path




Stephanie Ferguson

12/11/2008

X

Changed references to IMS documents from “SLPs and WIs” to “SLPs, WIs, templates, supporting documents, and forms”.




Stephanie Ferguson

04/15/2009

Y

Updated process and diagrams to include Records Review




Sara Cain

01/12/2010

Z

Updated process flow to clarify steps following Technical Review




Sara Cain

04/08/2010

AA

Added reference document precedence statement; clarified Section 4.1.2, Processing

To avoid confusion over which doc has precedence; and to ensure someone (PO) is verifying that external docs are still current.

Stephanie Ferguson

07/14/2010

AB

Updated Section 4.3 to remove necessity of Master List hard copy; clarified the content of Section 4.6.1

Electronic copy is the official version.

Electronic backup copies exist.



Sara Cain

09/15/2010

AC

Updated Section 4.2, 4.2.2, and 4.2.3 to reflect actual review process. Technical and Records Reviews may be performed in parallel.

Process changes for efficiency have been tried and found to be effective.

Richard Grigg

01/06/2011

AD

Updated Section 4.0 for clarity (flow). Added IMS Reviews in section 4.2.2 to encompass Technical, Records and Final reviews. Removed MLC. Removed CAR/PAR Originator.

Simplifying for easier user comprehension

Richard Grigg

03/14/2011

AE

Renamed to “Document Control”; removed Data section. Updated Section 4.0 for clarity (flows). Added Annual Document Review PO responsibilities. Removed Technical Reviewer, Records Liaison/Custodian.

No actual data controlled by this SLP. Some POs had questions about ADR. Continued simplification.

Richard Grigg

10/24/2011

AF

Remove cancellation flow; incorporate Office Lead as one of the Peer Reviewers when the Process Owner is not the Office Lead. Add IMS Modifications Needed Spreadsheet references.

Cancellation handled the same as any other revision. Eliminated the possibility that changes would be made without Office Lead being aware.

Richard Grigg

04/20/2012

AG

Add capture of rationale.

Clarify process of DCR rejection by PO.



Rationale for changes is frequently lost or documented in email or other hard to retrieve documents.

Richard Grigg

01/31/2013




















This document is uncontrolled when printed - check the master list at

http://ims.ivv.nasa.gov/ to verify that this is the correct version before use
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