GPR 5340.3.pdf

DIRECTIVE NO. GPR 5340.3G APPROVED BY Signature: Original Signed By

EFFECTIVE DATE: January 7, 2014 NAME: Judith N. Bruner

EXPIRATION DATE: September 7, 2021 TITLE: Director, Safety and Mission Assurance

CHECK THE GSFC DIRECTIVES MANAGEMENT SYSTEM AT

http://gdms.gsfc.nasa.govTO VERIFY THAT THIS IS THE CORRECT VERSION PRIOR TO USE.

GSFC 3-17 (02/10)

Goddard Procedural Requirements (GPR)

COMPLIANCE IS MANDATORY

Responsible Office: 300/Safety and Mission Assurance Directorate

Title: Preparation and Handling of GIDEP Alerts, GIDEP Safe-Alerts, GIDEP Problem Advisories, GIDEP Agency Action Notices, and NASA Advisories

PREFACE

It is important that the NASA and Federal workforce be advised of problem and nonconforming item data. To this end, NASA participates in the Government Industry Data Exchange Program (GIDEP) to exchange information among agencies and Government contractors about nonconforming products and uses NASA Advisories to communicate NASA specific information within the Agency.

P.1 PURPOSE

This procedure establishes the process for preparing and handling GIDEP Alerts, GIDEP Safe-Alerts, GIDEP Problem Advisories, GIDEP Agency Action Notices, and NASA Advisories that affect or potentially affect the suitability of electronic or mechanical parts, equipment, materials or software for use in Goddard Space Flight Center (GSFC) products or that affect or potentially affect personnel or system safety. NASA participates in the GIDEP to exchange information among agencies and

Government contractors about nonconforming products and uses NASA Advisories to communicate

NASA specific information within the Agency.

P.2 APPLICABILITY

This procedure applies to all GSFC products and processes covered by the scope of the GSFC

Management System as defined in GPR 1280.1. The preparation and handling of safety related GIDEP

Notices and NASA advisories applies to all Center organizations.

P.3 AUTHORITIES

a. NPD 1280.1, NASA Integrated Management System Policy

b. NPR 8705.4, Risk Classification for NASA Payloads (Revalidated July 9, 2008)

c. NPR 8735.1, Procedures for Exchanging Parts, Materials, Software, and Safety Problem Data

Utilizing the Government-Industry Data Exchange Program and NASA Advisories

P.4 APPLICABLE DOCUMENTS

a. Government-Industry Data Exchange Program (GIDEP) Operations Manual – SO300-BT-PRO-010

DIRECTIVE NO. GPR 5340.3G Page 2 of 25

EFFECTIVE DATE: January 7, 2014

EXPIRATION DATE: September 7, 2021

b. NPR 1441.1, NASA Records Retention Schedules

c. NPR 8735.1, Procedures for Exchanging Parts, Materials, Software, and Safety Problem Data

Utilizing the Government-Industry Data Exchange Program and NASA Advisories

d. GPR 1280.1, The GSFC Quality Manual

e. GPR 5340.4 Problem Reporting and Problem Failure Reporting

f. GPR 8700.4, Goddard System Reviews

g. NASA Form (NF) 1707, “Special Approvals and Affirmations of Requisitions”

h. PIC 10-14, Procurement Information Circular, “Special Approvals for Purchase Card Transactions”

i. GSFC Form 4-36, GSFC NASA Advisory

j. GSFC Form 4-37, Problem Impact Statement Parts, Materials, Equipment and Software

k. GSFC Form 4-37A, Problem Impact Statement Safety-Related Documents

P.5 CANCELLATION

GPR 5340.3F, Preparation and Handling of Alerts, Safe Alerts and Advisories

P.6 SAFETY

None

P.7 TRAINING

a. It is suggested that the Alert Coordinator participate in GIDEP classroom training at the first convenient opportunity and take a refresher course if needed every three or four years. Refer to GIDEP

Members website (https://members.gidep.org) for available format, locations, and dates.

b. GIDEP has a video training module providing a program overview that can be accessed by GIDEP members at the following website: https://members.gidep.org/events/training/wbt/gidep_overview/video

c. The GSFC Alert Coordinator can provide training opportunities at the following venues: System

Engineering Seminars, Safety Week Presentations, Safety Council meetings, Code 300 Orientation workshops, and Code 562 Parts meetings. Regular training also occurs during the monthly Alert

Coordinator telephone conferences by learning from the insights and experiences of other Coordinators.

P.8 RECORDS

Record Title Record Custodian Retention

Project Alert Impact Responses

GSFC Form 4-37 (and 4-37A)

Code 300 – GSFC

GIDEP Alert Coordinator

NRRS 8/103

5 years following completion of the project.

*NRRS – NASA Records Retention Schedules (NPR 1441.1)

DIRECTIVE NO. GPR 5340.3G Page 3 of 25

P.9 MEASUREMENT/VERIFICATION

GIDEP Alert response and closure rates for the projects are tracked and reported by the GSFC Alert

Coordinator.

PROCEDURES

In this document, a requirement is identified by “shall,” a good practice by “should,” permission by

“may” or “can,” expectation by “will,” and descriptive material by “is.”

1. RESPONSIBILITIES

1.1 Responsibilities of GSFC Center Director

a. Maintain continuous oversight of GSFC’s processing and disposition of GIDEP Notices and NASA

Advisories.

b. Shall appoint the GSFC GIDEP Notice and NASA Advisory Coordinator and an alternate in accordance with paragraph 1.2.3 of NPR 8735.1. Note: the alternate can be a contractor but with some limits to authority (see definition).

1.2 Responsibilities of the GSFC Safety and Mission Assurance Directorate Director

a. Shall assist in overseeing the proper implementation of this GPR.

1.3 Responsibilities of the Directorate Directors

a. Shall appoint a Safety-Alert Representative for each Directorate to receive, distribute and disposition safety related GIDEP Notices and NASA Advisories. Some Directorates have Safety-Alert

Representatives for different codes.

1.4 Responsibilities of the GSFC Program/Project Managers/Operations/Institutional Managers:

a. Shall comply with paragraphs 1.2.4 a, b, g, h, and i of NPR 8735.1.

b. Incorporate requirements for contractor participation in GIDEP and the NASA Advisory process, as applicable, in contract statements of work or specifications. See Appendix C.

c. Ensure that all GIDEP Notices and NASA Advisories provided by the Office of the GSFC GIDEP

Notice and NASA Advisory Coordinator (hereinafter referred to as GSFC Alert Coordinator) are reviewed, evaluated and dispositioned per the requirements of NPR 8735.1 and this GPR, and have closed-loop reporting to all levels under their purview.

DIRECTIVE NO. GPR 5340.3G Page 4 of 25

GSFC 3-17 (02/10)

d. Ensure that closed-loop reporting on the status of all GIDEP Notices and NASA Advisories provided by the Office of the GSFC Alert Coordinator is reviewed at program milestones and readiness reviews

(see GSFC Systems Reviews, GPR 8700.4), or according to contract or other specified reporting times/events.

e. Ensure that the risk for a GIDEP Notice or NASA Advisory that is more than 90 days overdue is captured as an Safety and Mission Assurance (S&MA risk), a project risk, or otherwise a SMAD (Safety and Mission Assurance Directorate) risk.

f. Ensure that all parts, materials and safety problems discovered by GSFC and likely to be of concern to

NASA and to the government are identified and corresponding data exchanged via GIDEP Notices and or NASA Advisories. Ensure that GIDEP Notices initiated by the project are documented in accordance with the requirements of GIDEP SO300-BT-PRO-010 GIDEP Operations Manual and that project-initiated NASA Advisories are documented in the NASA Advisory System (NAS), which can be accessed at the following URL: https://nasaforum.gidep.org

1.5 Responsibilities of Logistics, Operations and Purchasing

a. Shall ensure that procurements of safety critical items are screened for any GIDEP Notice and NASA

Advisory impacts. Refer to NASA Form (NF) 1707, “Special Approvals and Affirmations of

Requisitions” and also to PIC 10-14, Procurement Information Circular, “Special Approvals For

Purchase Card Transactions”.

b. Provide data, records and support for the activities described in this GPR as required.

1.6 Responsibilities of the Chief Safety and Mission Assurance Officer (CSO)

a. Ensure that GIDEP and NASA Advisory requirements are implemented on projects.

b. For GIDEP or NASA Advisory dispositions greater than 90 days overdue, capture an S&MA or project risk to cover the impact on the project.

c. For use-as-is dispositions, ensure that the Problem Report/Problem Failure Report (PR/PFR) system or equivalent is used to capture and obtain multidisciplinary authorization for concurrence.

d. For use-as-is dispositions, ensure that the risk of using the non-conforming item is captured as an

S&MA or project risk.

1.7 Responsibilities of the GSFC Alert Coordinator

a. Shall develop, document and implement GSFC processes to identify how GIDEP Notices and NASA

Advisories are to be processed and retained including:

(1) The exchange of problem and nonconforming item data identified by GSFC with GIDEP and other

NASA Centers. Determine if a GIDEP Notice or NASA Advisory is warranted based on the technical

DIRECTIVE NO. GPR 5340.3G Page 5 of 25

GSFC 3-17 (02/10)

evaluation of the problem by the reporting Project. Provide assistance as necessary to the reporting

Projects in the development of GIDEP Notice and NASA Advisory documentation.

b. Distribute GIDEP Notices and NASA Advisories as appropriate. The GSFC Alert Coordinator will determine the distribution and closed loop reporting requirements for GIDEP Notices and NASA

Advisories on a case-by-case basis. Examples of routine distribution are contained in Appendix D.

c. Screen procurement requests for safety critical items through GIDEP searches for items, parts, products, software and materials as identified by the GSFC program, project, and operations/institutional manager. See NASA Form (NF) 1707, “Special Approvals and Affirmations of Requisitions” and PIC

10-14, Procurement Information Circular, “Special Approvals for Purchase Card Transactions”.

d. Ensure that GIDEP Notice and NASA Advisory documentation is maintained and archived in accordance with the requirements of NPR 1441.1 or for five years following the end of operations, whichever is applicable per NPR 8735.1. The GSFC Alert Coordinator is responsible for ensuring records management and retention, as set forth by Federal records procedures and guidelines of NPR

1441.1, in coordination with the Agency or Center Records Officer. GIDEP Notice and NASA

Advisory data and records are part of the Agency Filing Scheme Program Management category with an

8700 Primary Identification Codes Series for Safety &Mission Assurance.

e. Review all GSFC generated GIDEP Notices and NASA Advisories before signing and releasing to

GIDEP or the NAS. Sign and release all GIDEP Notices and NASA Advisories initiated at GSFC.

f. Provide assistance to the GSFC obsolescence program by providing GIDEP DMSMS notices as requested.

g. Distribute safety related GIDEP Notices and NASA Advisories, to the Safety-Alert Representatives for impact evaluation using distribution in Appendix D as a guideline.

h. Provide GIDEP and NASA Advisory metrics for the Safety and Mission Assurance Directorate monthly status report and otherwise as requested. Note: The Alert Coordinator provides GIDEP metrics for the Monthly Status Review (MSR). The metrics include the following color designations for project status regarding impact evaluation responses: Green – Dispositioned; Yellow – No reply after 30 days but less than 90 days; Red – Overdue by 90 or more days; Orange – Potential impact being worked which goes red after 90 days.

i. Provide a GIDEP Utilization Report (s) to GIDEP on an annual basis.

j. Provide GIDEP Alert suspect counterfeit statistics to Purchasing, other GSFC departments and the

NASA OIG when requested.

k. Notify the project Risk Point of Contact (POC), who is responsible for initiating S&MA risks, whenever a GIDEP Notice or NASA Advisory is more than 90 days overdue.

DIRECTIVE NO. GPR 5340.3G Page 6 of 25

GSFC 3-17 (02/10)

l. Review all code/project responses to GIDEP Notices and NASA Advisories and determine whether or not the responses are acceptable, thereby ensuring the robustness of the GSFC closed-loop system.

2.0 Center GIDEP Implementation Procedures

2.1 Documenting GIDEP Notices and NASA Advisories

a. The GSFC Alert Coordinator shall assist in documenting problem and nonconforming item data for exchange with GIDEP and among NASA Centers unless the GIDEP reporting criteria contained in the

GIDEP Requirements Guide (SO300-BT-PRO-010) cannot be met or there are restrictions on release and distribution of the information.

(1) If the data are unique to NASA, a NASA Advisory shall be issued.

b. GIDEP Notices shall be documented in accordance with the requirements of the GIDEP Operations

Manual (SO300-BT-PRO-010).

c. GSFC NASA Advisories shall be documented by using the NASA Advisory form in the NAS and/or

GSFC Form 4-36 for a printable version.

d. The GSFC Alert Coordinator shall notify the affected manufacturer and or supplier for GIDEP Notice or NASA Advisory coordination purposes, prior to official document submittal process and allow 10 working days for a response.

2.2 For the release of GIDEP Notices, the GSFC Alert Coordinator shall, in the following sequence:

a. Coordinate with the Center Chief Counsel, Center Export Control Official, and Resident Agent in

Charge (RAC) of the GSFC Office of Inspector General. Regarding the RAC of the GSFC Office of the

Inspector General, this does not apply to GIDEP Notices that do not contain the names of a manufacturer or organization or are of a general nature.

b. Provide GSFC NASA Advisories to the NASA Office of the Inspector General in cases of suspected fraud.

c. Sign and release GIDEP Notices to the GIDEP Operations Center for distribution in accordance with the GIDEP requirements of SO300-BT-PRO-010, GIDEP Operations Manual.

d. Distribute GIDEP Notices as appropriate. The GSFC Alert Coordinator maintains the official GIDEP

Notice distribution lists – one for the flight projects and one for the GSFC Safety-Alert Representatives.

See Appendix D.

DIRECTIVE NO. GPR 5340.3G Page 7 of 25

GSFC 3-17 (02/10)

2.3 For the release of NASA Advisories, the GSFC Alert Coordinator shall, in the following sequence:

a. Certify that the nonconformance information was released as a GSFC NASA Advisory because data were believed to be unique to GSFC processes and projects.

b. Coordinate with the Center Office of Chief Counsel, Export Control Official, and RAC of the GSFC

Office of Inspector General. Regarding the Office of the Inspector General, this does not apply to NASA

Advisories that do not contain the names of a manufacturer or organization or are of a general nature.

c. Sign, release and distribute the NASA Advisory. The standard distribution of the GSFC NASA

Advisory is to: GSFC Projects and or Safety-Alert Representatives as appropriate; all the other NASA

Centers; the NASA GIDEP Liaison; the Deputy Assistant Inspector General in the NASA Headquarters

Office of the Inspector General; the Code 562 Parts Database and the NAS. The GSFC Alert

Coordinator maintains the official NASA Advisory distribution lists. See Appendix D.

2.4 Release and Distribution of Data related to GIDEP Notices and NASA Advisories to

International Partners

a. For a GSFC project that involves an International Partner (IP), the project shall obtain the parts and materials list from the IP and perform GIDEP and NASA Advisory screening to these lists.

b. If there is a GIDEP Notice hit, the project shall suggest mitigating actions to the IP without revealing the source of the information. GIDEP data is restricted and shall not be released to the IP. For more information on this restriction, see the GIDEP Distribution Policy in the GIDEP Operations Manual.

c. If there is a NASA Advisory hit, the project shall suggest mitigating actions to the IP and may reveal the source of the data based on the NASA Advisory distribution restrictions. In the case of GSFC originated NASA Advisories published after August 6, 2001, these particular NASA Advisories have been authorized by Export Control for unrestricted distribution.

2.5 Review and Distribution of GIDEP Notices and NASA Advisories

a. The GSFC Alert Coordinator shall review all GIDEP Notices and NASA Advisories on a case by case basis and distribute as appropriate (See Appendix D).

(1) In cases requiring an impact evaluation, the GSFC Alert Coordinator shall provide the impact evaluation form based on the template GSFC Form 4-37 (Problem Impact Statement Parts, Materials, Equipment and Software) or GSFC Form 4-37A (Problem Impact Statement Safety-Related

Documents). For ease of completion to the recipient, the GSFC Alert Coordinator will complete boxes one through five of GSFC Form 4-37 or GSFC Form 4-37A.

b. Alternate reporting status such as an Excel spreadsheet is acceptable provided that it is accessible to the GSFC Alert Coordinator and contains the requisite information of GSFC Form 4-37 or GSFC Form

4-37A.

DIRECTIVE NO. GPR 5340.3G Page 8 of 25

GSFC 3-17 (02/10)

2.6 The GSFC Program/Project Managers/Operations/Institutional Managers/Chief Safety and

Mission Assurance Officers shall perform the following:

a. Evaluate and disposition GIDEP Notices and NASA Advisories per the requirements of NPR 8735.1

b. Identify, control, and correct problems and nonconforming items in accordance with GPR 5340.4

(Problem Reporting and Problem Failure Reporting). Provide red flag PFRs as potential GIDEP

Notice/NASA Advisory candidates to the GSFC Alert Coordinator for review.

c. Implement closed-loop GIDEP Notice/NASA Advisory reporting at Preliminary Design Review

(PDR) and continue reporting until:

(1) System disposal for crewed and safety critical flight systems.

(2) System is declared operational (officially transferred to a Mission Operations Center) after launch, for flight systems that are not safety critical.

(3) Infrastructure/facility is decommissioned, for institutional infrastructure and facilities.

(4) Technology transfer or closure, for Research & Technology and Portfolio projects.

d. Determine the relevance and impact of GIDEP Notices and NASA Advisories to the Project or organization. Upon receipt of a GIDEP Notice or NASA Advisory from the Alert Coordinator, the manager shall distribute the document to those who are needed to review and disposition it. Note, outside the GSFC, the manager can only distribute evaluation forms (GSFC Form 4-37 or GSFC Form

4-37A) and NASA Advisories to contractors, not the GIDEP Notices themselves, as each GIDEP Notice carries the restriction; “Distribution is not authorized outside of the GIDEP participant’s organization.”

It is the responsibility of the contractor to access the GIDEP database and retrieve the GIDEP Notice identified in the GSFC Form 4-37 or GSFC Form 4-37A.

e. Determine whether the GIDEP Notice or NASA Advisory affects any products or services procured by NASA directly or through its contractors and their supply chains.

f. Identify actions to be taken to reduce or eliminate any detrimental effects on the Project or identify other disposition actions to be taken (e.g., risk accepted after assessment, parts replaced, parts placed in segregated stores, additional testing performed, etc.).

(1) In cases where there is a direct impact to the part number, manufacturer, and lot date code and the project disposition is “Use As Is”, the project shall initiate a PFR in the GSFC PR/PFR system or equivalent system to ensure multidisciplinary and multilevel review among project engineering/management and S&MA. For “Use As Is” dispositions for direct impacts to a project of a part, material, software or process issue, the project shall provide answers to the questions in Appendix

E. All “Use As Is” dispositions shall require a documented authorization from the CSO, Systems

Engineer and Project Manager (or designated alternatives).

DIRECTIVE NO. GPR 5340.3G Page 9 of 25

GSFC 3-17 (02/10)

(2) The project shall perform a risk assessment and if there is a credible risk with use of the part, the project shall add a risk to the list of project tracked risks in accordance with project risk management plans.

(3) For “Use As Is” dispositions to institutional or safety related GIDEP Notices/NASA Advisories, the institutional or safety manager shall provide answers to the questions in Appendix G.

g. Complete and provide an impact response report on GSFC Form 4-37 or GSFC Form 4-37A or alternate process (see paragraph 2.6.g.1) to the GSFC Alert Coordinator for review and filing. This

Form shall be completed for both no impacts and yes impacts. Note: In cases involving one or more revisions to GIDEP Notices or NASA Advisories, if the project provides a completed GSFC Form 4-37 or GSFC Form 4-37A to the latest GIDEP Notice or NASA Advisory revision, the project will not have to provide a response to the prior revision(s).

(1) If a project wants to provide impact evaluations by means other than the GSFC Form 4-37 or GSFC

Form 4-37A such as in an Excel spreadsheet, this alternative method must answer all the questions and provide the identical data to the GSFC Form 4-37 or GSFC Form 4-37A.

(2) In order to obtain credit for the next MSR, the project needs to provide the impact evaluation to the

Alert Coordinator by 5:00 PM on the last business day of the month.

h. Ensure that the baselining of parts lists includes a check of historical GIDEP Notices and NASA

Advisories [See Appendix F, GIDEP Batch Match or contact the administrator for the GSFC Code 562

Parts Database that has the capability of performing GIDEP Notice and NASA Advisory searches on a parts list.].

i. Collect additional information as requested by the GSFC Alert Coordinator (e.g., assisting the NASA

Office of the Inspector General when GIDEP Notices or NASA Advisories deal with fraud).

j. Prepare Lessons Learned reports as appropriate and in coordination with the GSFC Chief Knowledge

Officer.

k. Notify the Office of the GSFC Alert Coordinator of the date of the project PDR. The project point of contact for providing the PDR date shall be the CSO. Code 300 tracking of project GIDEP Notice and

NASA Advisory impact evaluation responses will start at the last day of the PDR.

l. Contact the GSFC Alert Coordinator whenever the procurement, logistics or any Office receives a manufacturer Alert or any type of notification (e.g., recall letter) that has a potential impact on quality, reliability and or schedule (if the schedule impact is attributable to quality concerns).

m. Provide official program/project waiver, deviation, or exception documentation with rationale/justification and a risk mitigation plan for relief from the requirements of this GPR to the

Chief, Safety and Mission Assurance Directorate, GSFC Director, and GSFC Alert Coordinator for concurrence.

DIRECTIVE NO. GPR 5340.3G Page 10 of 25

n. For ground systems only: Identify any safety critical elements of the ground system that can initiate a catastrophic, uncorrectable (within the relevant time window) failure, to the on-orbit spacecraft or instrument or an immediate safety issue to personnel or property as "safety critical". A hazard analysis should be able to establish this by definition, but the important element here is the immediacy and lack of ability to correct given the time window. Note that this hazard analysis would be the responsibility of

Systems Safety and/or Reliability at GSFC.

(l) Implement closed loop reporting for GIDEP Notices and NASA Advisories for all such safety critical elements of the ground system. For elements not deemed safety critical as defined above, the project reviews and makes its own disposition of the GIDEP Notices and NASA Advisories, soliciting outside review as it deems necessary.

2.7 GSFC Safety-Alert Representatives: GIDEP Notice and NASA Advisory Review and

Disposition with Impact Evaluations

a. The GSFC Alert Coordinator distributes safety related GIDEP Notices and NASA Advisories to the

GSFC Safety-Alert Representatives as appropriate. Once this distribution has occurred, the GSFC

Alert Coordinator will seek a review and concurrence from Code 350 that the distribution had adequate coverage. Code 350 is ultimately responsible for assuring appropriate GIDEP Notice and NASA

Advisory distribution coverage regarding safety issues.

(1) The GSFC Safety-Alert Representatives shall be responsible for distribution of these documents within their Directorate or code and also for providing an impact response report on GSFC Form 4-37A, Problem Impact Statement Safety-Related Documents, to the GSFC Alert Coordinator for review and filing. For certain documents that may affect all GSFC personnel, Code 350 is responsible for creating a

Safety Bulletin and coordinating an email distribution by the Office of Communications, to all employees. In such a case, the GSFC Safety-Alert Representatives will not have to distribute the safety notice using their own directorate mailing lists, but are still required to complete GSFC Form 4-37A based on employee responses and send it to the GSFC Alert Coordinator. When there is no employee response, GSFC Form 4-37A still requires completion and needs to be sent to the GSFC Alert

Coordinator as a no impact. Refer to Figure 1 for a flowchart depicting a conversion of a safety related

CPSC (Consumer Product Safety Commission) recall notice that was received as a GIDEP Agency

Action Notice (AAN) into a GSFC Safety Bulletin along with a typical distribution process that can vary on a case by case basis. It should be noted that Figure 1 only applies to public domain information such as CPSC recall notices and does not apply to the restricted GIDEP Notices and those NASA Advisories that have restrictions on release.

(2) The GSFC Safety Bulletin shall not reference the GIDEP Agency Action Notice that it was derived from since the GIDEP AAN itself is a restricted document.

http://gdms.gsfc.nasa.gov/gdms/pls/masterlist.menu

DIRECTIVE NO. GPR 5340.3G Page 11 of 25

Figure 1. CPSC Recall Notice Conversion to GSFC Safety Bulletin.

GSFC Alert Coordinator

Review and Typical

Distribution of

Safety Related

CPSC Recall Notice

Operations and WFF redistributes and completes

GSFC Form 4-37A.

Office of Communications

Community Announcements

Administrator: GSFC-All Emails

Dateline – All Employees

GSFC Safety Bulletin to All Employees.

GSFC Safety determines whether or not a further distribution is warranted.

Decision - GSFC Safety Bulletin.

GSFC Safety-Alert

Representatives receive

Employee impacts and complete GSFC Form 4-37A.

Yes

No

DIRECTIVE NO. GPR 5340.3G Page 12 of 25

2.8 Wallops Flight Facility

a. As appropriate, the GSFC Alert Coordinator shall distribute GIDEP Notices and NASA Advisories to the Wallops Flight Facility (WFF) safety organization (code 803) for impact evaluation.

(1) Code 803 shall complete GSFC Form 4-37 or GSFC 4-37A and send it to the GSFC Alert

Coordinator. It is recommended that code 803 appoint a GIDEP POC to coordinate GIDEP activities for

WFF.

2.9 Office of the Inspector General

a. The GSFC Alert Coordinator shall exercise caution in processing and distributing NASA Advisories originating in the OIG (Office of the Inspector General) to ensure distribution only to those people with a need to know the information, as this information is usually associated with an ongoing investigation.

2.10 GIDEP Batch Match

a. See Appendix F on how to use the GIDEP Batch Match for performing GIDEP searches on parts or materials lists. The use of the GIDEP Batch Match is optional and its effectiveness is a function of how comprehensive and detailed the parts and materials lists are.

2.11 GIDEP Training

a. It is suggested that the Alert Coordinator participate in GIDEP classroom training at the first convenient opportunity and take a refresher course if needed every three or four years. Refer to GIDEP

Members website (https://members.gidep.org) for available format, locations, and dates.

b. GIDEP has a video training module providing a program overview that can be accessed by GIDEP members at the following website: https://members.gidep.org/events/training/wbt/gidep_overview/video

c. The GSFC Alert Coordinator can provide training opportunities at the following venues: System

Engineering Seminars, Safety Week Presentations, Safety Council meetings, Code 300 Orientation workshops, and Code 562 Parts meetings. Regular training also occurs during the monthly Alert

Coordinator telephone conferences by learning from the insights and experiences of other Coordinators.

2.12 Problem Data Exchange Process

a. The GSFC problem data exchange process is shown in Figure 2 (Parts A and B). Figure 2A depicts how an identified problem can be processed by GSFC internal problem reporting processes or by the issuance of either a GIDEP Notice or NASA Advisory. Figure 2B portrays the overall process by which the GSFC Alert Coordinator enters GIDEP Notices and NASA Advisories into the project and or GSFC

Safety-Alert Representative pipeline which gets processed and evaluated with an outcome of an impact evaluation response back to the GSFC Alert Coordinator for review and determination of whether or not the response is acceptable, thereby completing the closed-loop process.

DIRECTIVE NO. GPR 5340.3G Page 13 of 25

Problem Data Exchange Process for GSFC Projects

A.

B.

Figure 2. GSFC Problem Data Exchange

Problem

Identified

Data

Exchange

Required

Generate

GIDEP

Notice

Prepare Release

Generate

NASA

Advisory

Prepare Release

Follow Internal Problem Reporting Processes

GIDEP

Other NASA

Centers

HQ-OIG &

NASA GIDEP

Liaison

GSFC 562

Parts

Database

GSFC

Projects GSFC Safety-Alert Representatives (If

Required)

No

Yes Yes

No

GIDEP Notices and NASA Advisories Received by GSFC Alert Coordinator

Distributed to GSFC

Projects and/or GSFC Safety-Alert

Representatives Evaluation Disposition

Impact

Evaluation Response

GSFC

Procurement

GIDEP

NAS

DIRECTIVE NO. GPR 5340.3G Page 14 of 25

Appendix A. Definitions

A.1 Alert Coordinator - The GSFC GIDEP Notice and NASA Advisory Coordinator.

A.2 Chief Safety and Mission Assurance Officer (CSO) – Safety and Mission Assurance

Directorate person responsible for managing quality, reliability and safety for a given project.

A.3 Closed-loop GIDEP reporting - Providing to the GSFC GIDEP and NASA Advisory

Coordinator a written response on GSFC Form 4-37 or GSFC Form 4-37A of no impact or impact with rationale for each GIDEP Notice and NASA Advisory within the designated time frame.

A.4 Corrective Actions - Changes to design processes, work instructions, workmanship practices, training, inspections, tests, procedures, specifications, drawings, tools, equipment, facilities, resources, or material that result in preventing, minimizing, or limiting the potential for recurrence.

A.5 Deputy GIDEP Notice and NASA Advisory Coordinator - The Center or Headquarters person appointed by their organization responsible for performing the duties of the GIDEP and NASA Advisory Coordinator in cases when the primary Center or Headquarters

Advisory Coordinator is not available. The alternate Center or Headquarters GIDEP and

NASA Advisory Coordinator need not be a civil service employee. However, an alternate

Center or Headquarters GIDEP and NASA Advisory Coordinator that is not a civil service employee cannot officially represent NASA. An alternate Center or Headquarters GIDEP and

NASA Advisory Coordinator that is a civil service employee can officially represent NASA.

A.6 Functional Failure - A failure resulting in non-fulfillment of required component functions or capabilities.

A.7 GIDEP - This acronym stands for "Government-Industry Data Exchange Program." GIDEP is a cooperative information-sharing program between the U.S. and Canadian governments and industry participants. The goal of GIDEP is to ensure that only reliable and conforming parts, materials and software are in use on all Government programs and operations. GIDEP members share technical information essential to the research, design, development, production, and operational phases of the life cycle of systems, facilities, and equipment.

A.8 GIDEP Agency Action Notice - An Agency Action Notice redistributes problem information issued by a government agency to notify GIDEP participants of problems and actions taken. Distribution of some Agency Action Notices may be limited to government agencies only, as determined by the submitter. GIDEP Agency Action Notices are submitted on GIDEP Form 97-3 (September 2009) [From SO300-BT-PRO-010, GIDEP Operations

Manual (APRIL 2008)].

A.9 GIDEP Alert - A standardized report prepared by a GIDEP participant for identification and notification of actual or potential problems on nonconforming parts, components, materials, manufacturing processes, test equipment, construction materials, office equipment, chemicals or computer software. GIDEP ALERTs are submitted on GIDEP Form 97-1 (September

2009) [From SO300-BT-PRO-010, GIDEP Operations Manual (APRIL 2008)].

A.10 GSFC GIDEP Notice and NASA Advisory Coordinator - The primary Center person appointed by their organization to represent them to the GIDEP. The Coordinator is responsible for ensuring appropriate documents generated by their organization are submitted to GIDEP; for coordinating and obtaining user authorization to access the database; and for

DIRECTIVE NO. GPR 5340.3G Page 15 of 25

GSFC 3-17 (02/10)

coordinating and submitting annual utilization reports. The GSFC GIDEP Notice and NASA

Advisory Coordinator is a GIDEP Representative as defined by GIDEP. See definition for

NASA GIDEP Representative.

A.11 GIDEP Notices - Term used to collectively refer to GIDEP Alerts, GIDEP Safe-Alerts, GIDEP Problem Advisories and GIDEP Agency Action Notices.

A.12 GIDEP Notice or NASA Advisory direct impact - A direct impact to a GIDEP Notice or

NASA Advisory occurs when the item described in the Notice or Advisory and the item proposed for use, or being used as part of a flight or ground system (e.g., facility, GSE) have the same manufacturer and part number, and the lot code is either the same, or within the identified lot code range. Note: For certain cases, a direct impact may not occur with a hit to the exact part number, manufacturer and lot date code because the GIDEP Notice/NASA

Advisory defines the problem in terms of a specific application (e.g., a specific software program used to program field programmable gate arrays).

A.13 GIDEP Problem Advisory - A Problem Advisory reports: (a) preliminary information on a suspected problem, or (b) a problem with parts, components, materials, manufacturing processes, specifications or test equipment that has a potential for causing a functional failure. Problem Advisories that report preliminary information must be followed by updated reports at not less than 30 day intervals until resolved or canceled. GIDEP Problem

Advisories are submitted on GIDEP Form 97-2 (September 2009) [From SO300-BT-PRO-

010, GIDEP Operations Manual (APRIL 2008)].

A.14 Ground System – The total assemblage of Earth-based equipment that manages and controls the direct support of space flight operations.

A.15 GIDEP Safe-Alert - A Safe-Alert is similar to an Alert, except that it identifies and notifies the GIDEP participant of an unsafe condition. GIDEP Safe-Alerts are submitted on GIDEP

Form 97-1 (September 2009) [From SO300-BT-PRO-010, GIDEP Operations Manual

(APRIL 2008)].

A.16 Multidisciplinary Authorization – The technical rationale to support a “Use As Is” decision for a direct impact to a GIDEP Notice or NASA Advisory, that identifies the name and discipline of the individuals supplying or concurring with the rationale on behalf of the affected project. Relevant disciplines include: CSO, Project Manager (or designated alternative), Systems Engineer and project support engineering functions.

A.17 NASA Advisory - A NASA document for exchanging parts, materials, and safety problems or concerns among NASA activities.

A.18 NASA Advisory System - The NASA Advisory System is a GIDEP managed database that is used to document, distribute and store NASA Advisories.

A.19 NASA GIDEP Liaison - The NASA Headquarters person that serves as the representative to the Government-Industry Data Exchange Program office in the Department of Defense to communicate with and provide the interfaces between the Agency and the GIDEP. The

NASA GIDEP Liaison is a GIDEP Representative as defined by GIDEP.

A.20 NASA GIDEP Representative - An individual(s) assigned by NASA who is responsible for the implementation and coordination of GIDEP within the applicable NASA Center. NASA may assign more than one GIDEP Representative when operating groups are not co-located within the same facility or different groups perform different functions.

DIRECTIVE NO. GPR 5340.3G Page 16 of 25

GSFC 3-17 (02/10)

A.21 Nonconformance - The state or situation of not fulfilling a requirement. A non-conforming product, process, software or material does not meet manufacturing specifications, or design, composition, or contractual requirements. Counterfeit parts, products, software and materials are considered non-conforming and/or non-conformances.

A.22 Safety-Alert Representative – The POC in a Directorate or Code within a Directorate to receive, distribute, and disposition GIDEP Notices and NASA Advisories.

A.23 Safety Critical Item - A part, assembly, installation equipment, launch equipment, ground support equipment, recovery equipment, or support equipment for an aircraft, launch vehicle, space vehicle or facility if the part, equipment, or assembly contains a characteristic whose failure, malfunction, or absence could cause a catastrophic or critical failure resulting in the loss of or serious damage to the craft/vehicle/facility, an unacceptable risk of personal injury, or loss of life.

DIRECTIVE NO. GPR 5340.3G Page 17 of 25

Appendix B. Acronyms

AAN Agency Action Notice

CPSC Consumer Product Safety Commission

CSO Chief Safety and Mission Assurance Officer

DMSMS Diminishing Manufacturing Sources and Material Shortages

GIDEP Government-Industry Data Exchange Program

ID Identification Information

IP International Partner

MAR Mission Assurance Requirements

MSR Monthly Status Review

NAS NASA Advisory System

NPD NASA Policy Directive

NPR NASA Procedural Requirements

NRRS NASA Record Retention Schedules

NSN National Stock Number

OIG Office of the Inspector General

PDR Preliminary Design Review

PFR Problem Failure Report

PIC Procurement Information Circular

POC Point of Contact

PR Problem Report

PR/PFR Problem Report/Problem Failure Report

RAC Resident Agent in Charge

S&MA Safety and Mission Assurance

SMAD Safety and Mission Assurance Directorate

WFF Wallops Flight Facility

DIRECTIVE NO. GPR 5340.3G Page 18 of 25

Appendix C. Guidelines for Contractual Implementation of GIDEP

C.1 Per paragraph 1.4 of this GPR, Program, Project, and Operations/Institutional Managers are responsible for incorporating requirements for Contractor participation in GIDEP and the NASA

Advisory System, as appropriate, in contract statements of work, program/project Mission Assurance

Requirements (MAR) or specifications.

C.2 The following factors should be considered in this determination:

a. Type of Procurement - consider the commodity (items, parts, and materials) being purchased.

b. Acquisition Phase - consider the phase of the program and the utility of the GIDEP Notice* and

NASA Advisory data to support that phase; generally, activities after the conceptual design phase can benefit most from participation.

c. Dollar Value of Contract - consider the amount of the contract and the benefit to be obtained from participation or the risks of not participating. There is no membership fee to Contractors for participating in GIDEP. There are resources required to review and evaluate GIDEP Notice and NASA Advisory information. Participation in GIDEP should be required in all procurements for supplies that exceed

$500,000 and should be considered for all procurements for services that exceed $500,000.

d. Criticality of the Equipment - consider the potential for loss of or damage to the equipment or personnel if GIDEP Notice and NASA Advisory information is not utilized. The primary focus of having contracts for participation in GIDEP is to ensure that GIDEP Notice and NASA Advisory data are available and utilized during research, design, development, production, and operational phases of the life cycle for systems, facilities, and equipment. Participation in GIDEP should be included for all procurements of safety critical items.

e. The following is a suggested GIDEP/NASA Advisory Participation Statement of Work. Consult with the Chief Safety and Mission Assurance Officer to ensure that there is compatibility with the latest

MAR.

"The Contractor shall participate in the Government-Industry Data Exchange Program (GIDEP) in accordance with the requirements of the GIDEP Operations Manual (GIDEP SO300-BT-PRO-010) and the GIDEP Requirements Guide (S0300-BU-GYD-010), available from the GIDEP Operations Center, PO Box 8000, Corona, California 92878-8000.

1) The Contractor shall review all GIDEP Notices* and NASA Advisories to determine if they affect the

Contractor's products and/or services provided to the Government.

2) The Contractor and their subcontractors that provide products and/or services shall respond by stating in writing whether or not each GIDEP Notice and NASA Advisory affects the Contractor's products and services provided to the Government. The Contractor is responsible for stating whether or not each

GIDEP Notice and NASA Advisories affects the subcontractor's products and services provided to the

Government.

DIRECTIVE NO. GPR 5340.3G Page 19 of 25

GSFC 3-17 (02/10)

3) For GIDEP Notices and NASA Advisories that affect the Contractor's products and services provided to the Government, the Contractor shall take action to eliminate or mitigate any negative effect and inform the Government of such actions to ensure GIDEP Notices and NASA Advisories adhere to close-loop reporting (GSFC Form 4-37 or GSFC Form 4-37A or equivalent).

4) The Contractor shall generate applicable GIDEP Alerts in accordance with the requirements of

GIDEP SO300-BT-PRO-010 and S0300-BU-GYD-010 whenever failed or nonconforming items, available to other buyers, are discovered during the course of the Contract.

C.3 If suspect/counterfeit parts are furnished under this agreement, such items shall be impounded by the contractor. The Seller shall promptly replace such items with items acceptable to the Contractor and

Government and the Seller shall be liable for all costs relating to impoundment, removal and replacement. The Contractor may turn such items over to US Office of Inspector General, FBI, etc. for investigation.

Contractors shall provide GIDEP Notice and NASA Advisory disposition documentation to NASA up to the time that process closed-loop reporting is no longer required.

The Contractor is responsible for the flow-down of these requirements to subcontractors and subcontractor adherence to closed-loop reporting. Therefore, the Contractor agrees to insert the preceding paragraphs in any subcontract for supplies hereunder exceeding $500,000.00 or supplying safety critical item(s) as identified by the Contract. When so inserted, the words, "Contractor" should be changed to "Subcontractor," and "Government" should be changed to "Customer."”

* The term “GIDEP Notices” means “GIDEP ALERTS, GIDEP SAFE-ALERTS, GIDEP Problem

Advisories, and GIDEP Agency Action Notices.”

DEFINITIONS. For purposes of this section, "safety-critical item" means a part, an assembly, installation equipment, launch equipment, ground support equipment, recovery equipment, or support equipment for an aircraft, launch vehicle, space vehicle or facility if the part, equipment, or assembly contains a characteristic whose failure, malfunction, or absence could cause a catastrophic or critical failure resulting in the loss of or serious damage to the craft/vehicle/facility, an unacceptable risk of personal injury, or loss of life.

Information and materials concerning GIDEP are available from:

GIDEP Operations Center

P.O. Box 8000 Corona, CA 92878-8000

Phone: (951) 898-3207 FAX: (951) 898-3250

Website: www.gidep.org http://www.gidep.org/

DIRECTIVE NO. GPR 5340.3G Page 20 of 25

Appendix D. Routine GIDEP Notice and NASA Advisory Distributions

GIDEP Notice Distributions

Projects: Code 279 (Logistics), Code 321(Project Safety Engineer), Code 323 (Chief Safety and

Mission Assurance Officer), Code 541(Project Materials Engineer), Code 562 (Project Parts Engineer), Code 803 (Wallops Flight Facility Safety).

GSFC Safety-Alert Representatives: Codes: 100 (Office of the Director), 110 (Office of Human

Capital Management), 130 (Office of Communications), 150 (Office of the Chief Financial Officer), 200

(Management Operations Directorate), 300 (Safety and Mission Assurance Directorate), 350

(Occupational Safety and Health Division), 400 (Flight Projects Directorate), 500 (Applied Engineering and Technology Directorate), 600 (Science and Exploration Directorate), 700 (Information Technology and Communications Directorate), 803 (Wallops Flight Facility Safety).

NASA Advisory Distributions

Projects: Code 279 (Logistics), Code 321 (Project Safety Engineer), Code 323 (Chief Safety and

Mission Assurance Officer), Code 541 (Project Materials Engineer), Code 562 (Project Parts Engineer), Code 803 (Wallops Flight Facility Safety).

GSFC Safety-Alert Representatives: Codes: 100 (Office of the Director), 110 (Office of Human

Capital Management), 130 (Office of Communications), 150 (Office of the Chief Financial Officer), 200

(Management Operations Directorate), 300 (Safety and Mission Assurance Directorate), 350

(Occupational Safety and Health Division), 400 (Flight Projects Directorate), 500 (Applied Engineering and Technology Directorate), 600 (Science and Exploration Directorate), 700 (Information Technology and Communications Directorate), 803 (Wallops Flight Facility Safety).

NASA Centers: GIDEP Notice and NASA Advisory Coordinators

NASA GIDEP Liaison

Deputy Assistant Inspector General in the NASA HQ Office of the Inspector General

Code 562 Parts Database

NASA Advisory System

DIRECTIVE NO. GPR 5340.3G Page 21 of 25

GSFC 3-17 (02/10)

Appendix E. Questions for “Use As Is” Dispositions for Project-Related GIDEP Notices/NASA

Advisories.

1) Has the PFR been initiated to document the review and input at each level?

2) Has the risk for use of the part been established in the PFR and brought to the project’s risk management board?

3) What is the criticality of the part and what happens if one fails? Is there a number of them that can fail with catastrophic result?

4) How many of these parts are in the applicable hardware?

5) What is the risk of replacing the part or designing it out?

6) What circumstances, special processes, screening, testing, or design aspects mitigate the risk?

DIRECTIVE NO. GPR 5340.3G Page 22 of 25

Appendix F - GIDEP Batch Match

GIDEP has a part batch search routine that permits GIDEP participants to send parts lists to GIDEP where they are stored and compared to the part identifiers in the GIDEP database. (Part lists are protected so that only Operations Center personnel will have access.)

CURRENT FEATURES

• Part Identifier comparison (Manufacturer, Government, Specification, Drawing, Model, Base and

NSN)

• Results based on "Exact" match search

• Specify data types of interest (e.g., failure experience data, Alerts, Reliability, etc.)

• Part input stored at Op Center for re-runs and modifications/updates

• Auto-batching (nightly - by Request only) as new documents loaded

• Results via e-mail

HOW TO BATCH

The Batch program operates on an "Exact" match and returns only those results. Correct formatting is crucial to obtaining correct results and any listings which require reformatting by the Op Center, may result in errors or duplicate notification.

To eliminate missing results, your attached list should be formatted as follows:

1. Part identifiers in single column ASCII text (no limit) (Part identifiers include Manufacturer part, Government, Specification, Drawing, Model, Base and NSN)

2. Do NOT remove any dashes, slashes, or other characters contained in the part identifiers

3. Full NSN must contain dashes (i.e. 5962-01-111-8890)

4. Remove extraneous information such as size, color or identifier information

In your email message body, include the following:

• Your Name

• Company Name

• GIDEP Participant Code

• Program(s) related to the part list (optional)

• Data types of interest (e.g., DMSMS, Metrology, Alerts, etc.)

• Your E-mail address for results

E-mail the above to GIDEP Operations Center at batch@gidep.org

Contact GIDEP Help Desk: (951) 898-3207 mailto:batch@gidep.org

DIRECTIVE NO. GPR 5340.3G Page 23 of 25

Appendix G. Questions for “Use As Is” Dispositions for Institutional/Safety-Related GIDEP

Notices/NASA Advisories.

1) What is the impact of implementing the recommendation from the GIDEP Notice/NASA Advisory?

2) What is the risk (likelihood and consequence) of proceeding without implementing the recommendations?

3) How many instances of this problem, uncorrected exist?

4) What circumstances, special processes, screening, testing, or design aspects mitigate the risk?

DIRECTIVE NO. GPR 5340.3G Page 24 of 25

CHANGE HISTORY LOG

Revision Effective Date Description of Changes

Baseline 08/12/98 Initial Release

A 10/6/98 Header and footer format changes. Rewrite of entire procedure.

B 04/21/99 Re-worded P1 and 1(e)

Deleted references to GPG 8730.4 (canceled) in favor of GPG

7120.2.

Expanded instructions sections 2.4 through 2.6.

Deleted Alert and Problem Advisory Forms.

Corrected paragraph number references in flow charts.

Added Records table (P6).

C 11/07/01 Rewrite of entire procedure.

D 03/21/03 Added sections P.6, P.7, P.9, P.10 to add common elements required in GPGs.

Changed Section 2.0 through 2.5 to 1.0 through 1.5.

Added new paragraph 2.4.

Changed paragraph 4.1 (was 2.4.1)

Changed 4.2 (was 2.4.2)

Revised the Process Metric section, represents current metric that is being reported.

E 01/19/05 As directed during the FY04 Center Rules Review, the

Responsible Office modified this document to remove requirements that were no longer needed and to clearly distinguish requirements from supporting information.

Administrative changes were made throughout to correct responsible organization names and codes, and to retitle

Goddard Procedures and Guidelines (GPG) to…