Surveillance Audit Preparation: Questions & Answers

Last Updated: March 12, 2007 

MSFC's ISO 9000 Registrar is scheduled to perform a surveillance audit to ISO 9001 and AS9100 of our Marshall Management System (MMS) May 5 - 8, 2008.  The audit will be performed for the entire Center  for the following elements:

 

Most of the following questions would apply to all employees.  Some of the questions would apply only to specific functions.  If any of the following questions can't be applied to you, just skip them and go on to the next one.

 

Review the MSFC Quality Policy.  How do you support the policy in performing your job?

Supervisors/Team leads should discuss this with employees on a routine basis.

MSFC Quality Policy is to provide quality products and services to our customers and partners through the NASA values:  Safety, Teamwork, Integrity, and Mission Success.

The NASA Values should guide us in our behavior and in making decision on a day-to-day basis.

The MSFC Quality Policy can be found in MPD 1280.1, "Marshall Quality Management System Manual."

Who is MSFC's Management Representative?

The Management Representative appointment is documented in para. 7.1.1.4.c. of the MPD 1280.1, Marshall  Quality Management System Manual.   The Management Representative is  Robin W. Henderson. 

 

What do you do if you find products, processes, or services that are nonconforming?

Product nonconformances are documented on MSFC Form 460, Discrepancy Record (DR), in accordance with MPR 8730.3, Control of Nonconforming Product, or Inbound Discrepancy Reports (IDR's) in the Procurement Discrepancy Tracking System, per MWI 5100.1, Procurement Requisitioners Guide.  Contact QS10 to initiate a DR, or contact the Property Management Group to initiate an IDR.

Nonconformances in the Quality Management System procedures or their implementation are documented on MSFC Form 4335, Quality System Deficiency Notice (QSDN), in accordance with MWI 1280.4, MSFC Quality System Deficiency Notice System.  MSFC Form 4335 is available on-line.   Go to Inside Marshall, click on "ISO 9000" button and bring down the drop down menu.  Select "QSDN (Quality System Deficiency Notice)" from the menu and then select "New QSDN."  Fill in the electronic form as appropriate.   A link to the QSDN is also available from the ISO 9000 Home Page under Databases.

Reports of nonconforming products or services received from an external customer are captured on MSFC Form 4306,  MSFC Customer Feedback, in accordance with MWI 1280.2, MSFC Customer Feedback System. MSFC Form 4306 is available as an electronic form.  From your desktop, click on the IDS folder, Applications folder, and then on Informed Forms, or you can access forms through the MIDL.

Supplier/subcontractor discrepancies are addressed in MPR 5000.1, Purchasing, and related documents.

How do you use the applicable corrective action systems?

The correct answers are found in MPR 1280.4, MSFC Corrective Action System, MPR 5000.1, Purchasing.  The procedure applies to all MSFC organizations, to all products and services, and to the MFSC Quality Management System itself.  This broad use of a corrective action system is a significant departure from past MSFC practice, and must be understood by every employee.

For an overview of the system, see the tri-fold brochure, MSFC's Corrective Action System.  This brochure maybe downloaded and printed.

How do you control use of any inspection, measuring, and test equipment you may have?

The correct answers are found in  MPR 8730.5, Control of Inspection, Measuring and Test Equipment.

Also, if you have any circular chart recorders in your area, ensure that the charts are replaced at their specified intervals.

What controls are in place for the design/development project that you are working on? 

Design and development activities are assigned to qualified personnel equipped with adequate resources.  MSFC prepares plans commensurate with contracts or Collaborative Work Commitments (CWCs) for each design and development activity.  The plans describe or reference these activities and define responsibility for their implementation.  The design and development stages and the appropriate reviews, verification, and validation are determined during planning.  The plans will be updated as the design evolves.

Procedures pertaining to design of flight hardware, flight software, and flight-associated ground support equipment are defined in MPR 8060.1, “Flight Systems/Design Control,” and MPR 8040.1, “Configuration Management, MSFC Programs/Projects.” 

Design of facilities is addressed in MPR 8823.1, “Design Control for Facilities.” 

Procedures for design of non-flight and non-facility products are defined in MPR 8060.2, “Non-Flight and Non-Facility Design and Development.”

 

Show me the quality planning that has been done for your project.

Quality planning is defined in MPR 7120.1, Program/Project Planning.  There are also detailed requirements in MPR 8040.1, Configuration Management, MSFC Programs/Projects.  The source for project quality planning documents normally is the Project Manager, or your organization may have established a convenient way to access these documents, such an intranet web site.  In either case, you should make yourself familiar with the method for finding the quality planning documents.

What are your job responsibilities? What procedures and work instructions apply to your job? Where are they located?

Each employee must determine the correct answers to these questions, with the help of his or her supervisor, if necessary.  As a minimum, each employee should be able to place and explain his or her job and responsibilities within appropriate Organizational Issuances (OI's) and documents within the Marshall Integrated Document Library (MIDL).  You must be able to demonstrate that you are using the correct versions of documents in performing your work.

OI's may be either hard copy or electronic.  Correct versions of OI's must be readily available to you, and you must know where to find them.  The MPD's, MPR's, and MWI's are all available electronically within the Marshall Integrated Document Library (MIDL).  It is not necessary to recite a URL.  Rather, you should be able to readily locate this site on your computer, or take the auditor to someone who can.

Where are the master lists for your Organizational Issuances (OI's)?

The Master Lists for organizational issuances are located in the Marshall Integrated Document Library (MIDL) on the MSFC Intranet.  Under MSFC heading select Organizational Instructions which will take you to the Master List Custodian Report.  The Master List Custodian Report  may link to an organization's Master List, or it may just provide information on how to contact the appropriate Master List Custodian in order to obtain the organization Master List.  It is not necessary to recite a URL.  Rather, you should be able to readily locate this site on your computer, or take the auditor to someone who can.

Procedures for maintaining master lists and for control of documents are described in MPR 1410.2, Marshall Management Directives System.

Do you use any forms? How do you know you have the correct version?

The Master List of Official MSFC Forms and NASA HQ Electronic Forms are located in the Marshall Integrated Document Library (MIDL) under Forms in each respective group (i.e., NASA and MSFC).  You may also be using other forms that are controlled by an OI.  In any case, you should assure yourself you do know the source for whichever forms you use.

Where is the master list for standards and specifications that you use in your work?

The master list for external standards and specifications can be found under Technical Standards (under NASA and under MSFC) in the Marshall Integrated Document Library (MIDL).

 

If you are using any outdated or cancelled documents in your job, show me your authorization to use them.

Valid authorizations may include items such as memos from project managers, printouts of e-mail from a Headquarters manager, customer agreements, etc.

You must be able to demonstrate how you know you are using the correct version of a document if it is not the current version.

As a fall back, if you can't find it, tell the auditor that you would consult with your Supervisor or Organization Representative.

What are your qualifications to do your job?

Your qualifications for your job were evaluated and documented when you were placed in your present position.  Those records are maintained by the Office of Human Capital (HS).  If you are asked this question, you should refer the auditor to HS01.

Is there any special training required for you to do your job?

Your job-specific training, if any, is documented by your supervisor.  Your supervisor may have used MSFC Form 4333 or some other means to document the requirements and their fulfillment.

If your job involves a skill which requires certification (e.g., crane operator, welder, solderer) then documentation of that training may be found through the certifying officer.

(Note: If you were in your job prior to September 1, 1997, documentation of job-specific training is not required, except for employees performing functions subject to certification. Reference MPR 3410.1, Training.)

How do you control the quality of your processes?

Be sure you understand what the auditor is interested in, since certain types of hardware processes are subject to special controls given in MPR 1280.2, Process Control.  Other types of processes are governed by MPD's, MPR's, MWI's, and OI's, which define the associated controls.

Show me objective evidence that you do your job like you say you do it. Are there any records associated with your job? Where are they maintained, and for how long?

Your procedures and work instructions (MPR's, MWI's, and OI's) establish the way you do your work, and the records named in those instructions are the best evidence that you do your job in accordance with your instructions.  To answer the auditor correctly, you must be familiar with the documentation associated with your task activity.  Where records are maintained, and for how long, will be specifically established by various means, as detailed in the applicable procedures.

For more information on records, review MPR 1440.2, MSFC Records Management Program.  Also, go to Definition of a Record on the ISO 9000 Home Page for further clarification.

    The following is a list of  records required to maintain ISO Registration

Types of Quality System Records	Reference Procedure
Management Review minutes/records	MPR 1280.1
Records of education, training, skills, and experience	MPR 3410.1
Evidence that the realization processes and resulting product fulfill requirements	MPR 8730.1, MPR 8730.2
Positive recall records	MPR 8730.1
Records of the results of contract review and actions arising from the review	MPR 1050.1, MPR 7100.1, MPR 7120.1
Design inputs	MPR 8060.1, MPR 8060.2, MPR 8823.1
Results of design reviews and any necessary actions	MPR 8060.1, MPR 8060.2, MPR 8823.1
Results of design verification and any necessary actions	MPR 8060.1, MPR 8060.2, MPR 8823.1
Results of design validation and any necessary actions	MPR 8060.1, MPR 8060.2, MPR 8823.1
Results of the review of design changes and any necessary actions	MPR 8060.1, MPR 8060.2, MPR 8823.1
Results of supplier evaluations and any necessary actions	MPR 5000.1
Records of validation of processes for production and service provision	MPR 1280.2, MPR 1280.7
Records of unique identification of product where traceability is a requirement	MPR 8040.2
Reports to customers of customer property which is lost, damaged, or found unsuitable for use	MPR 4000.1
Records of the results of calibrations and verifications	MPR 8730.5
Internal audit records, including an audit schedule, audit results, and follow-up activities	MPR 1280.6
Records of the inspection authority responsible for release of the product	MPR 8730.1, MPR 8730.2
Records of the nature of nonconformities and any subsequent actions taken, including concessions obtained	MPR 8730.3
Results of the investigation of the cause of nonconformities relating to product, process, and the quality system	MPR 1280.4
Records of the results of corrective actions taken	MPR 1280.4
Records of the results of preventive actions taken	MPR 1280.4, MWI 1280.5, MWI 1280.3, MWI 7120.6

What records are required for your credit card purchases? Show me these records.

Holders of Government Credit Cards for purchase of commercial, off-the-shelf items must follow the procedures found in MWI 5113.1, Governmentwide Commercial Purchase Card Operating Procedures.  The records the card holder must keep and retention time are specified in para. 6.10, Cardholder File.  The Records are specified in para. 9.1.

 

Do you know the quality objectives and metrics related to your job?

Quality objectives, including those needed to meet requirements for product, are established at relevant functions and levels within the organization.  These are based on the MSFC quality policy and should be measurable.  Contact your supervisor or lead for information on the quality objectives and metrics related to your job.

 Additional quality objectives used to assess the health of the MMS and to identify opportunities for improvement include:

 -       Satisfy our customers with our products and services

-         Continually improve our processes

-         Detect nonconformances and take corrective action

-         Improve corrective action response time

-         Provide a continuously learning workforce

 

How are processes continually improved at MSFC?

Continual improvement is defined as:  Recurring activity to increase the ability to fulfill requirements or to increase the effectiveness of the management system and its processes.  MGM 1280.1, “Guidance for Continual Improvement,” describes how processes are continually improved at MSFC.  Improvements are made on a routine basis through the use of the quality policy, quality objectives, audit results, analysis of data, corrective and preventive actions and management review.

 

Other continual improvement efforts may take place through breakthrough projects or small-step ongoing improvement activities.  Cross-functional teams are usually formed outside of routine operations to work on breakthrough improvement projects, while people or teams within an organization are the best source of ideas for small-step or ongoing process improvement. 

 

Any MSFC employee may submit recommendations for improvements by accessing the IDEAS (Innovative Dynamic Employee's Active Solutions) website through “Inside Marshall” or by completing the suggestion form, MSFC Form 426, “Here’s My Idea.”  Actions will be assigned to appropriate organizations to evaluate suggestions and either implement improvements or provide an explanation if no changes are necessary. 

Show me where you have improved your products or processes.

Improvement of the quality of MSFC products and services has been emphasized by NQA and by MSFC Director David King.  You should be prepared to cite specific instances related to your products and processes themselves, as well as quality system improvements, such as correction of findings from internal audits, revisions to work instructions, correction of QSDN's, etc.

Who are your customers? 

MSFC customers are defined as any recipients of an MSFC-supplied product or service.  Customers may include:  the public/taxpayers, NASA Headquarters and other NASA Centers, other government agencies, contractors, academia, small business, community, private industry, news media, and internal MSFC Directorates/Offices.

Directorates/Offices maintain their customer list(s).  Consult your supervisor or lead for more information about who your customers are.

   How is customer feedback solicited and collected for your Directorate/Office?

There are 5 methods for getting customer feedback:

·         analysis of existing data

·         direct observation

·         one-on-one interviews

·         focus groups

·         surveys

Directorates/Offices determine the best approach for soliciting and collecting customer feedback.  This feedback will be used to monitor customer satisfaction.  Your supervisor or lead will explain the method(s) used by your organization and what your responsibilities are.

MPR 1280.8 “Customer Satisfaction” documents the MSFC procedures and guidelines for monitoring and reporting customer satisfaction.  It can be found in the Marshall Integrated Document Library (MIDL) through the Inside MSFC web site. 

To initiate a Customer Feedback report go to the following URL:  http://qualcomm.msfc.nasa.gov/apps/qualcomm/  You may also get to the Customer Feedback report website from the ISO 9000 dropdown menu on Inside Marshall or from the ISO 9000 website.

Download Adobe Acrobat Reader

 

Responsible Official Robin N. Henderson

POC Don Miller

Curator Don Miller