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HQPD 1200.1
Effective Date: November 29, 2006
Expiration Date: November 29, 2016
Responsible Office: LK
Headquarters Quality Management System Manual
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NASA Headquarters Policy Directive

HQPD 1200.1

Effective Date: November 29, 2006

Expiration Date: November 29, 2016


The Quality Management Systems Manual [Revalidated w/Change 1 (02/04/2008)]


Responsible Office: Office of Internal Controls and Management Systems

TABLE OF CONTENTS

Change History

Change #
Date
Description
1
02/04/2008

The QMS Manual is no longer applicable to all Headquarters organizations, but is applicable to the following:

Exploration Systems Mission Directorate
Science Mission Directorate
Space Operations Mission Directorate
Office of Safety and Mission Assurance
Office Program Analysis and Evaluation
Office of the Chief Engineer
Office of Internal Controls and Management systems
Office of the Administrator.

Therefore, paragraph P.2 Applicability corrected. Directive revalidated for another five years because information in it is still valid for ongoing operations at NASA Headquarters.

PREFACE

P.1 Purpose
P.2 Applicability
P.3 Authority
P.4 References
P.5 Cancellation

CHAPTER 1. NASA Headquarters QMS"1.1 Goal

CHAPTER 2. Organization

2.1 The Deputy Administrator
2.2 The NASA Operations Management Council
2.3 The Executive Management Representative
2.4 Officials-in-Charge
2.5 HQ Employees

CHAPTER 3. HQ Accountability for Products

3.1 Government Accountability
3.2 HQ Products

CHAPTER 4. HQ Management Systems Documentation

APPENDIX A. ISO 9001 Crosswalk with NASA Management Documentation

APPENDIX B. Exclusions to ISO 9001 Standard

APPENDIX C. Executive Management Representative Memorandum


PREFACE

P.1 PURPOSE

This QMS Manual provides a management overview of the NASA Headquarters QMS and a crosswalk between the clauses of the International Organization for Standardization's 9001 (ISO 9001:2000) requirements for quality management systems and the NASA documentation that meets these requirements (Appendix A). It also identifies the ISO 9001:2000 clauses that are excluded from the Headquarters QMS because they are not applicable to Headquarters operations (Appendix B).

P.2 APPLICABILITY

This QMS Manual applies to the following Headquarters organizations:

Exploration Systems Mission Directorate
Science Mission Directorate
Space Operations Mission Directorate
Office of Safety and Mission Assurance
Office Program Analysis and Evaluation
Office of the Chief Engineer
Office of Internal Controls and Management systems
Office of the Administrator.

P.3 AUTHORITY

a. NPD 1280.1, NASA Management System Policy.

P.4 APPLICABLE DOCUMENTS

The QMS Manual references other NASA documents that cover specific topics, rather than reiterating their content. This manual is intended to supplement these documents so that a clear understanding is formed between the QMS Manual and other policy, procedures, and requirements. It is not intended to duplicate or contradict any NASA policy, procedure, or requirement.

a. NASA Policy Directive (NPD) 1000.0 Strategic Management and Governance Handbook.
b. NPD 1001.0 2006 NASA Strategic Plan.
c. NPD 1000.3 The NASA Organization.
d. NPD 1200.1 NASA Internal Control and Accountability.
e. NPD 1210.2 NASA Surveys, Audits, and Reviews Policy.
f. NPD 1280.1 NASA Management System Policy.
g. NPD 1400.1 Documentation and Promulgation of Internal NASA Requirements.
h. NPR 1400.1 NASA Directives System Procedural Requirements.
i. NPD 1440.6 NASA Records Management.
j. NPD 1441.1 NASA Records Retention Schedules.
k. NPD 3000.1 Management of Human Resources.
l. NPD 3410.2 Employee and Organizational Development.
m. NPR 3430.1 Employee Performance Communications System.
n. ANSI/ISO/ASQ Q9001-2000 American National Standard, Quality Management Systems-Requirements.
o. Headquarters Procedural Requirement (HQPR) 1280.3 Internal Quality Audits.
p. HQPR 1400.1 Document and Data Control.
q. HQPD 1460.1 NASA Headquarters Forms/Records/Classified Information Program.
r. HQPR 1460.1 Vital Records.
s. HQPR 1590.1 Headquarters Operations Services Guide.
t. HQPD 5137.1 NASA Headquarters Office and Workstation Space Policy.
u. HQPR 8715.1 Workplace Safety and Health.
v. NASA Financial Management Requirements (FMR) Volume 9, Internal Management Control.

P.5 MEASUREMENT/VERIFICATION
None.

P.6 CANCELLATION
Headquarters Quality Management System Manual (January 30, 2003).

/S/
Shana Dale
Deputy Administrator


CHAPTER 1. NASA Headquarters QMS


1.1 The Headquarters (HQ) QMS is a process-based management system that controls the quality of HQ customer products and mission requirements while implementing the HQ quality policy (which is also NASA's policy) as stated in the 2006 NASA Strategic Plan, NPD 1001.0. The QMS complies with the ISO 9001 requirements for quality management systems.

1.2 The scope of the HQ QMS is mission and mission support management of NASA's Vision for Space Exploration, Aeronautics, and Science. HQ principal roles and responsibilities are:

a. Establish Agency policy.
b. Define strategy and architectures.
c. Ensure statutory/regulatory compliance.
d. Define program objectives and top-level requirements.
e. Monitor program performance.
f. Manage intergovernmental relationships.
g. Allocate resources.
h. Provide Headquarters essential services.

1.3 The HQ QMS Manual augments the Strategic Management and Governance Handbook and The NASA Organization .

a. NPD 1000.0, Strategic Management and Governance Handbook , has two primary aims:

(1) To set forth the principles by which NASA will strategically manage the Agency and describe the means for doing so.

(2) To identify the specific requirements that drive NASA's strategic planning process, leading to products such as the Strategic Plan and the Annual Performance and Accountability Report.

b. NPD 1000.3, The NASA Organization , documents mission and mission support management roles and responsibilities.


CHAPTER 2. Organization


2.1 The Deputy Administrator

The Deputy Administrator, as the Official-in-Charge of the HQ QMS, provides the resources to implement, maintain, and improve the QMS. The Deputy Administrator also chairs the NASA Operations Management Council.

2.2 The NASA Operations Management Council

The NASA Operations Management Council serves as NASA's senior decision-making body for integrated Agency tactical and operational activities, ensuring timely and effective implementation of NASA's strategies. The Operations Management Council also provides direction to all NASA Headquarters Mission Directorates and Mission Support Offices for implementation. The scope of the Operations Management Council encompasses all activities conducted by NASA, including the review of the HQ QMS.

2.3 The Executive Management Representative

2.3.1 The Executive Management Representative has day-to-day responsibility for the HQ QMS (see Appendix C). The Executive Management Representative:

a. Ensures that the HQ QMS is established, implemented, and maintained and reports on the QMS performance to the NASA Operations Management Council . Reports cover:

(1) Product and process measures.
(2) Customer feedback.
(3) Corrective and preventive actions.
(4) QMS improvement recommendations.
(5) Resource issues.

b. Provides recommendations regarding resources, including the types of personnel, training, equipment, and facilities needed to enhance customer satisfaction by meeting customer needs.

c. Promotes awareness of customer requirements throughout HQ; and '

d. Maintains this manual.

2.3.2 The Assistant Administrator for Internal Controls and Management Systems supports the Executive Management Representative and has the authority to:

a. Take action to identify and prevent QMS problems.
b. Recommend or suggest solutions.
c. Verify the implementation and effectiveness of these solutions.
d. Record problems with the product, process, and QMS.
e. Develop communication strategies to ensure that customer requirements are understood and integrated into QMS processes.

2.4 Officials-in-Charge

2.4.1 The HQ Officials-in-Charge are the heads of the Mission Directorates and Mission Support Offices. They provide customer focus and communicate the roles and responsibilities in NPD 1000.3, The NASA Organization . Officials-in-Charge are responsible for allocating resources to ensure effective QMS operation, maintenance, and improvement within their organization. They must ensure that the quality policy is communicated, understood, implemented, and maintained at all levels of HQ organizations. All managers and supervisors jointly share with their subordinates the responsibility and accountability for their development and training.

2.4.2 Managers and supervisors determine the job-related knowledge, skills, and competencies that employees need to effectively accomplish the organization's work. The Employee Performance Communications System is used by supervisors to determine whether employees understand the structure and operations of the organization.

2.5 HQ Employees

All NASA HQ employees are responsible for understanding and complying with the HQ QMS and quality policy. Supervisors and employees, in accordance with NPR 3430.1, Employee Performance Communications System , must jointly complete an annual performance plan identifying the training employees need to perform their responsibilities. Employees must understand the goals and objectives of their organization, any pertinent agreements or technical guidelines, and procedural documents that pertain to their work. In accordance with NPD 1000.0, Strategic Management and Governance Handbook , employees are responsible for familiarizing themselves with the Agency Strategic Plan and their respective Mission Directorate or Mission Support Office plans. The NASA Online Directives Information Systems Web site gives employees access to the basic documents governing the NASA strategic management system and helps ensure that all employees know and understand the structure and operations of the organization.


CHAPTER 3. HQ Accountability for Products


3.1 Government Accountability

3.1.1 NASA's purpose as an U.S. Government Agency is defined by its enabling statute, the National Aeronautics and Space Act of 1958 , as amended. This and other Federal statutes and regulations set forth the kinds of programs NASA is to carry out, and the regulations that govern how NASA manages the resources entrusted to it by the American people. HQ is responsible for producing NASA's long-range strategy, goals, and objectives consistent with these statutes and regulations. HQ is responsible for Agency management, including formulating plans and providing guidance and oversight to the NASA centers. It guides and integrates budget development, defines the Agency's long-term institutional investments, and leads and coordinates Agency wide functions. The vast majority of HQ products are internally delivered as part of our Agency management role. NPD 1000.3, The NASA Organization , lists NASA mission requirements and documents Agency and HQ management roles and responsibilities.

3.1.2 As the Agency focal point for accountability with external entities, HQ articulates the strategies, goals and objectives of the Agency. NASA HQ mainly interacts with the Administration and Congress to develop the requirements to fulfill the Agency's purpose and achieve NASA's mission. The Congress ensures that NASA is meeting its purpose through holding hearings with NASA officials, questions for the record and other oversight methods. Through these interactions, Congress makes decisions that provide the direction and funding needed to execute NASA's mission. HQ strategic, budget, and performance planning and reporting activities translate Administration and Congressional requirements into the Agency Strategic Plan, the Integrated Budget and Performance Document, and the Performance and Accountability Report.

3.1.3 To help develop its Strategic Plan, NASA also seeks input from those in the space exploration, science, aeronautics and education communities, commercial, aerospace, and non-aerospace industries, and Federal agencies. Mechanisms for obtaining input include external reviews, peer reviews, and the circulation of draft plans for review and comment.

3.1.4 All HQ organizations are responsible for supplying information on their programs and activities to support the development of these HQ products. The Agency provides these documents to the Administration and to Congress.

3.2 HQ Products

The HQ Offices of Program Analysis and Evaluation and the Chief Financial Officer are responsible for leading in the development of HQ's Congressionally-mandated products: the Agency Strategic Plan, the Integrated Budget and Performance Document, and the Annual Performance and Accountability Report. In addition, these offices aid in the development of other Executively-mandated documents, such as the Program Assessment Rating Tool. Every HQ organization supports these offices to develop the products and is an integral part of the process.


CHAPTER 4. HQ Management System Documentation


The HQ QMS incorporates NASA's comprehensive management documentation to meet all ISO 9001 requirements applicable to NASA HQ activities. Appendix A provides a crosswalk between the 9001 Standard and this documentation.


APPENDIX A. ISO 9001 Crosswalk with NASA Management Documentation


The HQ QMS incorporates NASA's comprehensive management documentation required to meet all ISO 9001 requirements applicable to NASA HQ activities. This appendix provides a crosswalk between the 9001 Standard and this documentation.

The ISO 9001 requirements included in the clauses listed in the left column are met by the NASA management documentation identified in the right column, below:

ISO 9001:2000 Clause

NASA Management Documentation

4. Quality Management System

4.1 General requirements

? NPD 1280.1, NASA Management System Policy.

? NPD 1000.0, Strategic Management and Governance Handbook.

4.2 Documentation requirements

4.2.1 General








4.2.2 Quality manual


4.2.3 Control of documents

4.2.4 Control of quality records

? NPD 1280.1, NASA Management System Policy.

? HQPD 1200.1, HQ Quality Management System Manual.

? NPD 1000.0, Strategic Management and Governance Handbook.

? HQPD 1200.1, HQ Quality Management System Manual.

? NPD 1400.1, Documentation and Promulgation of Internal NASA Requirements.

? NPR 1400.1, NASA Directives System Procedural Requirements.

? NPD 1440.6, NASA Records Management.

? NPR 1441.1, NASA Record Retention Schedules.

? HQPD 1460.1, NASA Headquarters Forms/Records/Classified Information Program.

? HQPR 1460.1, Vital Records.

5 Management Responsibility

5.1 Management commitment

? HQPD 1200.1, HQ Quality Management System Manual.

? NPD 1000.0, Strategic Management and Governance Handbook.

? NPD 1000.3, The NASA Organization , Operations Management Council Charter.

? NPD 1280.1, NASA Management System Policy.

5.2 Customer focus

? HQPD 1200.1, HQ Quality Management System Manual.

? NPD 1000.1, 2006 NASA Strategic Plan.

? NPD 1000.0, Strategic Management and Governance Handbook.

5.3 Quality policy

? HQPD 1200.1, HQ Quality Management System Manual.

? NPD 1000.1, 2006 NASA Strategic Plan.

5.4 Planning

5.4.1 Quality objectives


5.4.2 Quality management system planning

? NPD 1000.1, 2006 NASA Strategic Plan.

? Integrated Budget and Performance Document.

? NPD 1280.1, NASA Management Systems Policy.

? NPD 1000.0, Strategic Management and Governance Handbook.

? NPD 1000.3, The NASA Organization.

5.5 Responsibility, authority and communications

5.5.1 Responsibility and authority

5.5.2 Management representative

5.5.3 Internal communication

? HQPD 1200.1, HQ Quality Management System Manual.

? NPD 1000.3, The NASA Organization.

? Letter of Delegation (see Appendix C).

? NPD 1000.3, The NASA Organization.

5.6 Management review

5.6.1 General

5.6.2 Review input

5.6.3 Review output

? HQPD 1200.1, HQ Quality Management System Manual.

? NPD 1000.3, The NASA Organization , NASA Operations Management Council applies to all subclauses.

6 Resource Management

6.1 Provision of resources

6.2 Human resources
6.2.1 General
6.2.2 Competence, awareness, and training


6.3 Infrastructure
6.4 Work environment

? NPD 1000.3, The NASA Organization , Office of Institutions and Management applies to all six, Resource Management subclauses.

? NPD 3000.1, Human Resources Management applies to subclause 6.2.2.

? NPD 3410.2, Employee and Organizational Development applies to subclause 6.2.2.

? HQPR 1590.1, Headquarters Operations Services Guide.

? HQPD 5137.1, NASA Headquarters Office and Workstation Space Policy.

? HQPR 8715.1, Workplace Safety and Health.

7 Product Realization

7.1 Planning of product realization

? NPD 1000.0, Strategic Management and Governance Handbook.

7.2 Customer-related processes

7.2.1 Determination of requirements related to the product

7.2.2 Review of requirements related to the product

7.2.3 Customer communication

The following documents apply to the 7.2 subclauses:

? NPD 1000.0, Strategic Management and Governance Handbook.

? NPD 1000.3, The NASA Organization.

? The NASA Integrated Budget and Performance Document.

? The Performance and Accountability Report.

7.4 Purchasing

7.4.1 Purchasing process

7.4.2 Purchasing information

7.4.3 Verification of purchased product

The following documents apply to the 7.4 subclauses:

? NPR 5100.4, Federal Acquisition Regulation Supplement.
? NPD 5101.32, Procurement.

? NPR 5800.1, Grant and Cooperative Agreement Handbook.

? NPR 5810.1, Standard Format for NASA Research Announcements and other Announcements for Grants and Cooperative Agreements.

? NPD1050.1, Authority to Enter Space Act Agreements.

7.5 Production and service provision

7.5.1.a-b Control of production and service provision

? NPD 1000.0, Strategic Management and Governance Handbook.

? NPD 1400.1, Documentation and Promulgation of Internal NASA Requirements.

8 Measurement, Analysis, and Improvement

8.1 General

? NPD 1000.0, Strategic Management and Governance Handbook.

? NPD 1000.3, The NASA Organization, Operations Management Council Charter.

? HQPR 1280.3, Management System Internal Audits.

8.2 Monitoring and measurement

8.2.1 Customer satisfaction

8.2.2 Internal Audit



8.2.3 Monitoring and measurement of processes

8.2.4 Monitoring and measurement of product

? NPD 1000.0, Strategic Management and Governance Handbook.
? NASA Performance and Accountability Report.

? NPD 1000.3, The NASA Organization, Operations Management Council Charter.

? NPD 1200.1, NASA Internal Control and Accountability.

? NPD 1210.2, Surveys, Audits and Reviews.

? HQPR 1280.3, Management System Internal Audits.

? FMR Volume 9 Internal Management Control.

The following documents apply to the 8.2.3 and 8.2.4 subclauses:

? NPD 1000.3, The NASA Organization , NASA Operations Management Council.

? NASA Performance and Accountability Report.

8.3 Control of nonconforming product

? NPD 1000.0, Strategic Management and Governance Handbook.

8.4 Analysis of data

? NPD 1000.0, Strategic Management and Governance Handbook.

? NPD 1000.3, The NASA Organization , NASA Operations Management Council.

8.5 Improvement

8.5.1 Continual improvement

8.5.2 Corrective action

8.5.3 Preventive action

The following documents apply to the 8.5 subclauses:

? NPD 1000.0, Strategic Management and Governance Handbook.

? NPD 1000.3, The NASA Organization , NASA Operations Management Council.

? NPD 1210.2, Surveys, Audits and Reviews.

? HQPR 1280.3, Management System Internal Audits.


APPENDIX B. Exclusions to ISO 9001 Standard


NASA Headquarters QMS complies with the ISO 9001 requirements. The Management Systems Division within the Office of Infrastructure and Administration is responsible for maintaining this compliance.

ISO 9001 clauses listed in Table B-1 are not applicable to NASA HQ operations:

ISO 9000:2000 Clause

Rationale for Seeking Exclusion

7.3 (7.3.1-7.3.7) Design and/or development

7.5.1.c Operations control

No equipment that could adversely affect product or service quality is used in the product realization or service process.

7.5.1.d Operations control

No monitoring or measuring devices are used in product or service realization.

7.5.1.e Operations control

No monitoring or measuring devices are used in product or service realization.

7.5.1.f Operations control

HQ products require no release, delivery, or post delivery activities associated with the plans or budgets.

7.5.2 Validation of processes for production and service provision

This clause is not applicable to HQ products as they can be verified, monitored, and measured subsequent to realization.

7.5.3 Identification and traceability

HQ products are discrete unique products, and it would not be appropriate or value added to apply identification and traceability. Process controls are in place to ensure that these products remain discrete and unique.

7.5.4 Customer property

No customer property is maintained at Headquarters.

7.5.5 Preservation of product

The products of Headquarters are not subject to deterioration or loss of conformity.

7.6 Control of monitoring and measuring equipment

No monitoring or measuring devices are used in product service realization.


APPENDIX C. Executive Management Representative Memorandum



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