Attachment 8 - Consolidated CAEI QMS Documentation_29June17.pdf

Consolidated CAEI QMS Documentation.

Internal Audit Process

High-Level Process Executable

Procedure

Process Owner: C5ISR Acquisition, Engineering, and Integration (CAEI) Quality Management System (QMS) Management Representative (MR)

Objective: The purpose of this process is to ensure that the CAEI QMS is functioning as planned, implemented effectively, and that the working environment is in conformance with applicable ISO 9001:2015 requirements and procedures.

Scope: This process outlines the planning and execution of internal audits in accordance with ISO 9001:2015.

Entry Criteria:

Start of a calendar year

Exit Criteria:

Audit Findings o Conformances o Non-Conformances o Opportunities for Improvement Inputs:

List of CAEI Operations to be Audited

Internal Audit Checklists

QMS Requirements

CAEI Processes

Historical Internal Audit Reports Risk Assessment

Outputs:

Signed Audit Reports

Audit Schedule

Action Plans

Governing Policy

Assumptions:

Process involves collaboration between contractor and Government personnel

Business Rules:

Federal Acquisition Regulation (FAR)

CAEI Contracts

ISO 9001:2015 Standard

QMS-M-01 Quality Manual

CAEI-M-01 CAEI Management Plan

PMI PMBOK

CMMI Methodologies

Lean Principles

CAEI-00001 - Rev F 5/02/2016

This SPAWAR CAEI controlled document is a copy of an ISO 9001:2015 required and controlled document. Prior to use, ensure this copy is the most recent revision to the controlled document. To request changes, submit a Document Revision Request to the CAEI QMS Management Representative.

Process Diagram:

Roles and Responsibilities Note: Roles discussed in this section may not be directly involved in the actual process but still have an impact on the process or will be impacted by the process. For example, a supervisor may be included in the list of roles, but may not have an action listed in the table below. The CAEI Management Plan (CMP) or associated Project Management Plan (PMP) should document the assignment of the roles listed below. Depending on the size of the project team, team members may have more than one role. (ISO 5.3 –Organizational roles, responsibilities)

Roles Summary: The roles below are typically associated with this process.

Quality Management System Management Representative (QMS MR): The QMS Management Representative ensures adherence to and improvement of the CAEI Quality Management System, also known as the CAEI Management Plan. Responsibilities include those outlined in ISO 9001:2015, Clause 5.3. For this process, the QMS MR is responsible for planning and controlling the internal audit program. The QMS MR will also identify when it is necessary to train Internal Auditors for CAEI.

CAEI Internal Auditor: CAEI Internal Auditors are CAEI employee(s) who are qualified and trained to perform or lead an internal audit. Auditors are approved by the QMS MR and are responsible to the QMS MR for conducting audits. Auditors are selected on the basis that no auditor will audit an area for which he/she has direct responsibility. Potential auditors are chosen according to their communication skills, enthusiasm, and successful completion of the Internal Auditor Training program or equivalent training, experience, or certification.

CAEI Employee: For this process, any CAEI Employee can be assigned to support internal audits, where they are responsible for active and cooperative participation ensuring the continued improvement of the QMS processes.

Action Table:

Step Action

This SPAWAR CAEI controlled document is a copy of an ISO 9001:2015 required and controlled document. Prior to use, ensure this copy is the most recent revision to the controlled document. To request changes, submit a Document Revision Request to the CAEI QMS Management Representative.

1 Create Internal Audit Schedule: The QMS MR plans the internal CAEI audits to be carried out throughout the year. All ISO 9001:2015 elements, with the exception of those specifically excluded in the QMS Manual (QMS-M-01), are audited at least once per year. The audit schedule is communicated through email and on the CAEI QMS website.

https://intelshare.intelink.gov/sites/caei/SitePages/Home.aspx .The audit will cover three facets:

Conformance of the QMS and associated procedures and work instructions with the ISO 9001:2015 standards

Actual operational implementation of the QMS and associated procedures and work instructions

Evidence of continual improvement across the organization

Audit schedules are planned 6-months in advance and communicated to management via email.

Depending on the level of activity, workload, and availability of personnel, this schedule can be changed by direction of the QMS MR and/or designated representative only.

Inputs:

QMS Requirements CAEI Processes Historical Audit Reports CAEI Project Listing

Outputs:

CAEI Internal Audit Schedule Communication to CAEI Management

Tools and Templates:

N/A

2 Plan Individual Internal Audit: The Internal Auditor reviews the Quality Manual, Internal Auditing Process (QMS-P-03), and the last audit of the process area/product to create the checklist to be used in the scheduled audit.

Inputs:

CAEI Quality Manual CAEI Internal Auditing Process Historical Audit Reports

Outputs:

Internal Audit Checklist for the Specified CAEI Process Area/Product

Tools and Templates:

CAEI Internal Audit Checklist QMS-F-02 CAEI Product Realization Internal Audit Checklist QMS-F-04 CAEI Process Internal Audit Checklist QMS-F-05

This SPAWAR CAEI controlled document is a copy of an ISO 9001:2015 required and controlled document. Prior to use, ensure this copy is the most recent revision to the controlled document. To request changes, submit a Document Revision Request to the CAEI QMS Management Representative.

3 Review Internal Audit Checklist: The QMS MR reviews the current internal audit checklist for any necessary changes.

Inputs:

Checklist for CAEI Process Area/Product Historical Audit Reports

Outputs:

Approved/Revised Checklist for CAEI Process Area/Product

4 Schedule Internal Audit: The Internal Auditor notifies the Point of Contact within the organization being audited and his or her manager via email of the upcoming audit, subject, and date.

Inputs:

CAEI Audit Schedule Checklist for CAEI Process Area/Product

Outputs:

Meeting Notice of Upcoming Audit

5 Conduct Internal Audit: The CAEI Internal Auditor uses the checklist and interviews employees to gather evidence of conformity or non-conformity to the requirements of the ISO elements which are identified on the checklist. Opportunities for improvement are also captured during the audit. The following practices should be key elements considered during the Internal Audit:

Objective evidence should be examined to determine conformance with the applicable processes audited

Each requirement examined should be audited in sufficient depth to determine conformance to the specific and related processes

Specific attention will be given to audit findings and corrective and/or preventive actions that were identified during previous internal or 3rd party audits

Opportunities for improvement should be identified Observations/answers to the audit questions should be documented Notes should be taken on good points as well as non-conforming or potential non-conforming conditions ISO 9001:2015 clauses and/or specific paragraphs should be referenced when pointing out non-conforming or potential non-conforming conditions Observations should be discussed to identify/define findings

Inputs:

This SPAWAR CAEI controlled document is a copy of an ISO 9001:2015 required and controlled document. Prior to use, ensure this copy is the most recent revision to the controlled document. To request changes, submit a Document Revision Request to the CAEI QMS Management Representative.

Checklist for CAEI Process Area/Product Findings from Previous Internal Audits

Outputs:

Draft Audit Report Audit Findings o Conformances o Non-Conformances o Opportunities for Improvement

6 Finalize Audit Report: The Internal Auditor reviews all of the information found during the audit and completes the Checklist as the finalized audit report. The finalized audit report shall be reviewed by the auditor, project COM, and project manager to review findings and determine proper course of action should this be necessary. Any question as to the category of the finding should be discussed by the Audit Team or with the QMS MR, as appropriate. Audit findings will be categorized as:

In conformance with the QMS standards/requirements (C) Not in conformance with the QMS standards/requirements (NC) Opportunity for Improvement (OFI)

If the finding is “NC”, it can be additionally annotated as being (if known and if the auditor has strong evidence to support):

Major Non-conformance (M) Minor Non-conformance (Mn)

Inputs:

Notes From Audit Documents Collected During Audit

Outputs:

Finalized Audit Report

7 Review Internal Audit Program: The QMS MR or designated representative reviews all finalized audit reports and provides approval signature. The elements covered during the audit are entered into the Audit Clause Check-off List, QMS-F-006, to provide visibility of the elements covered to date from the auditing program. They maintain completed Audit Reports(s) for all audits conducted in support of CAEI. The Finalized Audit Report serves as the official audit record and shall indicate CAR(s) and/or PAR(s) written as a result of the audit. These records are subject to 3rd party registrar auditing and shall be made available upon request. These internal auditing documentation packages

This SPAWAR CAEI controlled document is a copy of an ISO 9001:2015 required and controlled document. Prior to use, ensure this copy is the most recent revision to the controlled document. To request changes, submit a Document Revision Request to the CAEI QMS Management Representative.

shall be maintained in accordance with the Control of Records Process Record Retention Matrix. Audits conducted can be formalized audits from the Internal Audit schedule or evaluation of Lean Six Sigma improvements to process areas.

Inputs:

Finalized Audit Reports Lean Six Sigma Improvement Documentation

Outputs:

Updated Audit Clause Check-off List Retained Audit Report Records

External Interfaces:

a. Customers: CAEI Customer, COM, CPjM, CPM, and CAEI Employees

b. Suppliers: CAEI Employees, CPjM, CPM, Internal Auditors, and QMS MR

c. Other Processes: Document Control and Control of Records

d. Process-Related Assets:

1) Reference Assets:

CAEI Contracts

QMS-M-01

CAEI-M-01

ISO 9001:2015 Standard

2) Implementation Assets:

Internal Audit Checklists Audit Clause Check-off List

3) Job Aids: N/A

4) Training:

ISO 9001:2015 Auditor Training Lean Six Sigma Green Belt or Black Belt Training Internal Audit Training program

e. Associated Standards: ISO 9001:2015 Process Institutionalization:

a. Institutionalization areas: The CAEI Management Plan provides overall guidance on the expectations for work to be performed in support of this IPT following the process outlined within this document.

This SPAWAR CAEI controlled document is a copy of an ISO 9001:2015 required and controlled document. Prior to use, ensure this copy is the most recent revision to the controlled document. To request changes, submit a Document Revision Request to the CAEI QMS Management Representative.

b. Verification: This process meets ISO 9001:2015 standards. All elements of the ISO Standard will be audited at least once during the year; however, the importance of an activity or operation sector may dictate that the regularity of the internal audit be conducted more often than once a year.

c. Feedback: Feedback on this process can be delivered to the CAEI Management Representative.

Feedback should be provided through the CAEI IPT website document library.

Tailoring: None of the steps outlined in the process detailed within this document are subject to modification or deviation without the express written approval of the CAEI Management Representative.

Measures: Definitions, purpose, and targets for measures are identified in the CAEI Management Metrics Plan.

The process outlined in this document will be reviewed as part of the CAEI Management Review on an annual basis. (ISO 8.2.3 – Monitor and measurement of processes)

Control of Non‐Conforming Product

High-Level Process Executable

Procedure

Process Owner: C5ISR Acquisition, Engineering, and Integration (CAEI) Quality Management System (QMS) Management Representative (MR)

Objective: The purpose of this process is to define how non-conforming products (NCP) are controlled to prevent inadvertent customer use, delivery, or installation.

Scope: This process applies to the review and subsequent disposition of all material, components, sub-assemblies, and finished products received by, purchased for, or assembled by CAEI employees, and to defective products returned for repair or evaluation.

Entry Criteria:

NCP identified

Exit Criteria:

NCP Notification sent

NCP

Outputs:

NCP Tag

NCP Notification

Reworked/Repaired NCP

Rejected/Scrapped NCP Governing Policy

Assumptions:

Process involves collaboration between contractor and Government personnel

Business Rules:

Federal Acquisition Regulation (FAR)

CAEI Contracts

ISO 9001:2015 Standard

QMS-M-01 Quality Manual

CAEI-M-01 CAEI Management Plan

PMI PMBOK

This SPAWAR CAEI controlled document is a copy of an ISO 9001:2015 required and controlled document. Prior to use, ensure this copy is the most recent revision to the controlled document. To request changes, submit a Document Revision Request to the CAEI QMS Management Representative.

Note: Roles discussed in this section may not be directly involved in the actual process but still have an impact on the process or will be impacted by the process. For example, a supervisor may be included in the list of roles, but may not have an action listed in the table below. The CAEI Management Plan (CMP) or associated Project Management Plan (PMP) should document the assignment of the roles listed below. Depending on the size of the project team, team members may have more than one role. (ISO 5.3– Organizational roles, Responsibly and Authorities)

Roles Summary: The roles below are typically associated with this process.

Quality Management System Management Representative (QMS MR): The QMS Management

Representative ensures adherence to and improvement of the CAEI Quality Management System, also known as the CAEI Management Plan. Responsibilities include those outlined in ISO 9001:2015, Clause 5.3. For this process, the QMS MR is responsible for monitoring and oversight of the process for controlling NCP.

Functional Area Supervisor (FAS): The FAS is the lead of production areas and is responsible, after a CAEI Employee identifies an NCP, to tag, segregate, and utilize the automated system for disposition and notification of stakeholders.

CAEI Employees: For this process, the CAEI Employees are responsible for reporting identified NCPs in their respective work centers and throughout CAEI.

This SPAWAR CAEI controlled document is a copy of an ISO 9001:2015 required and controlled document. Prior to use, ensure this copy is the most recent revision to the controlled document. To request changes, submit a Document Revision Request to the CAEI QMS Management Representative.

1 Tag NCP: For each NCP identified by a CAEI Employee, a non-conformance tag is generated and attached to the product by the FAS.

Inputs:

NCP Information

Outputs:

NCP Tag

Online NCP Tool - CMPro

2 Segregate NCP: Non-conformance items are segregated by the FAS when practical, to ensure they are not further processed until they have been repaired or reworked.

Inputs:

NCP

Outputs:

NCP located in specified area

3 Document the NCP Disposition: From the review performed by the FAS, the disposition is documented and indicated on the non-conformance tag and falls into one of the following categories:

Reworked/repaired to meet the specified requirements Accepted with or without repair by concession Rejected or scrapped Return to vendor

Before reworked products are used in production or are shipped, they are thoroughly inspected to verify that they conform to the same requirements as originally specified. The customer may accept non-conformance products with concession. Notification, written or electronic e-mail, from the customer to accept non-conformance products are kept on file with the FAS and clearly identify the product accepted.

Inputs:

NCP

This SPAWAR CAEI controlled document is a copy of an ISO 9001:2015 required and controlled document. Prior to use, ensure this copy is the most recent revision to the controlled document. To request changes, submit a Document Revision Request to the CAEI QMS Management Representative.

NCP Tagged with Disposition

Online NCP Tool - CMPro MGT-Website-FC-003 MGT-Website-WI-003

4 Notify Stakeholders of NCP: Reporting of a non-conforming product is a web-based and on-line process. The process steps are described in CAEI NCP Module Process Flow Chart (MGT-WEBSITE- FC-003) and NCP Module Instruction MGT-WEBSITE-WI-003.

Inputs:

NCP

Outputs:

Notification of NCP

Tools and Templates:

Online NCP Tool - CMPro MGT-Website-FC-003 MGT-Website-WI-003

f. Customers: CAEI Customer, COM, CPjM, CPM, and CAEI Employees

g. Suppliers: CAEI Employees

h. Other Processes: Control of Records, Document Control

i. Process-Related Assets:

1) Reference Assets:

CAEI Contracts

QMS-M-01

CAEI-M-01

2) Implementation Assets:

SPAWAR Process Template CAEI QMS Website Online NCP Tool

3) Job Aids: N/A

4) Training:

NCP Training

j. Associated Standards: ISO 9001:2015

This SPAWAR CAEI controlled document is a copy of an ISO 9001:2015 required and controlled document. Prior to use, ensure this copy is the most recent revision to the controlled document. To request changes, submit a Document Revision Request to the CAEI QMS Management Representative.

Process Institutionalization:

d. Institutionalization areas: The CAEI Management Plan provides overall guidance on the expectations for work to be performed in support of this IPT following the process outlined within this document.

e. Verification: This process meets ISO 9001:2015 standards. Control of NCP is part of every process audit conducted by verifying the process outlined in this document is the proper control and revision.

f. Feedback: Feedback on this process can be delivered to the CAEI Management Representative.

Feedback should be provided through the CAEI IPT website document library.

Tailoring: None of the steps outlined in the process detailed within this document are subject to modification or deviation without the express written approval of the CAEI Management Representative. Written approval may be granted only if the contractor has an existing ISO 9001 accredited NCP process and the contractor agrees to meet the CAEI Management Representatives reporting requirements related to NCP.

Measures: Definitions, purpose, and targets for measures are identified in the CAEI Management Metrics Plan.

% Non-Conformance Incoming Material: Provides visibility into the initial quality of products that are being procured. For a reporting period, the number of non-conforming materials that were received based on incoming inspection/number of total materials received (ISO 9.1.3 – Analysis and evaluation)

Control of Records

Procedure

Process Owner: C5ISR Acquisition, Engineering and Integration (CAEI) Quality Management System (QMS) Management Representative (MR)

Objective: The purpose of this process is to provide instructions for the controls needed for the identification, storage, protection, retrieval, retention time, and disposition of the CAEI QMS records.

Scope: This process applies to the QMS as defined in the SPAWAR CAEI Quality Manual and provides for the maintenance of all quality records as defined within the QMS procedures and work instructions. CAEI records shall be maintained to demonstrate conformance to specified requirements and the effectiveness of the

QMS.

Entry Criteria:

Information requiring record retention

Disposition based on record retention matrix

Controlled Form for Capturing Data

Record Under Retention

Corrected Record Under Retention

Record Disposal

Governing Policy

Assumptions: Business Rules:

This SPAWAR CAEI controlled document is a copy of an ISO 9001:2015 required and controlled document. Prior to use, ensure this copy is the most recent revision to the controlled document. To request changes, submit a Document Revision Request to the CAEI QMS Management Representative.

Process involves collaboration between contractor and Government personnel

Federal Acquisition Regulation

(FAR)

CAEI Contracts

ISO 9001:2015 Standard

QMS-M-01 Quality Manual

CAEI-M-01 CAEI Management Plan

PMI PMBOK

This SPAWAR CAEI controlled document is a copy of an ISO 9001:2015 required and controlled document. Prior to use, ensure this copy is the most recent revision to the controlled document. To request changes, submit a Document Revision Request to the CAEI QMS Management Representative.

Note: Roles discussed in this section may not be directly involved in the actual process but still have an impact on the process or will be impacted by the process. For example, a supervisor may be included in the list of roles, but may not have an action listed in the table below. The CAEI Management Plan (CMP) or associated Project Management Plan (PMP) should document the assignment of the roles listed below. Depending on the size of the project team, team members may have more than one role. (ISO 5.3– Organizational roles, Responsibly and Authorities)

Roles Summary: The roles below are typically associated with this process.

Quality Management System Management Representative (QMS MR): The QMS Management Representative ensures adherence to and improvement of the CAEI Quality Management System, also known as the CAEI Management Plan. Responsibilities include those outlined in ISO 9001:2015, Clause 5.3. For this process, the QMS MR is responsible for controlling QMS documentation as defined within this process and for auditing results of the documentation control processes. The QMS MR is also responsible for ensuring that the latest versions of CAEI Facility QMS documents are kept up to date and are available on the CAEI Facility Web Portal. The QMS MR is responsible for assigning a CAEI facility Deputy MR to serve in the absences of the QMS

MR.

Contractor Program Manager (CPM): The CPM is the contractor lead for CAEI contracts and is responsible for ensuring that all IPT customers are satisfied, their requirements met, the CAEI Management Plan is continually improved and followed, and that CPjMs are assigned to CAEI tasking. For this process, the CPM is responsible for ensuring that program level records defined within the scope of the QMS and any other contractual requirements are maintained in accordance with this process and any other unique customer requirements.

Contractor Project Manager (CPjM): For all tasking assigned by the CPM, the CPjM is responsible for overall project management, ensuring that customers are satisfied, their requirements are met, and the CAEI Management Plan is followed. For this process, the CPjM is responsible for ensuring that project level records defined within the scope of the QMS and any other contractual requirements are maintained in accordance with this process and any other unique customer requirements.

CAEI Employees: For this process, CAEI Employees are responsible for verifying current document

This SPAWAR CAEI controlled document is a copy of an ISO 9001:2015 required and controlled document. Prior to use, ensure this copy is the most recent revision to the controlled document. To request changes, submit a Document Revision Request to the CAEI QMS Management Representative.

revisions prior to use in creating a record.

1 Generate Record: CAEI Employees generate documents that support or provide objective evidence of the planning and accomplishment of quality, and are designated as quality records.

Inputs: The quality records and data within this system include, but are not limited to, the following:

Management Review Records Education, Training, Skills, and Experience Records Record Evidence that the Product Realization Processes and Resulting Product Fulfill

Requirements Results of the Review of Requirements Relating to the Product and Actions Arising from the

Review as Required by the CAEI Facility to Demonstrate the Validation of Processes where the Resulting Output cannot be Verified by Subsequent Monitoring or Measurement

The Unique Identification of the Product, where Traceability is a Requirement Customer Property that is Lost, Damaged, or Otherwise Found to be Unsuitable for Use Standards Used for Calibration or Verification of Measuring Equipment Where no International or National Measurement Standards Exist Validity of Previous Results when Measuring Equipment is Found not to Conform with its

Requirements Internal Audit Records Evidence of Product Conformity with the Acceptance Criteria and Indication of the Authority

Responsible for the Release of the Product Nature of the Product Non-conformances and any Subsequent Actions Taken, Including

Concessions Obtained Results of Corrective Action Requests Results of Preventive Action Reports

Outputs:

Records

Tools and Templates:

CAEI Website CMPro Database CAEI Facility Computers CPDB Database Record Retention Matrix

1.1 Correct Record: Original records may be corrected by CAEI Employees if an error has been made on the record. Information that is incorrect may be changed to reflect the correct information by lining out the incorrect and inserting the correct information. The correction is to be initialed and dated by the appropriate authority associated with the record in question. No white out is to be used on records.

This SPAWAR CAEI controlled document is a copy of an ISO 9001:2015 required and controlled document. Prior to use, ensure this copy is the most recent revision to the controlled document. To request changes, submit a Document Revision Request to the CAEI QMS Management Representative.

Incorrect Record

Outputs:

Corrected Record

Tools and Templates:

CAEI Website CMPro Database CAEI Facility Computers

2 Retain Record: The storage location/retrieval, protection, and indexing is identified by the CPjM or CPM for each QMS required record. Retention time of records should be a minimum of three years, unless otherwise established and approved in the individual CAEI procedure or work instruction or by contract or customer specified requirements. Designated staff responsible for the maintenance of records should classify records according to their retention status. Possible classification criteria include:

Lifetime/Permanent records Non-permanent records, and records with limited storage and retention requirements

Inputs:

Records

Outputs:

Records attributed with a disposition

Tools and Templates:

CAEI Website: https://intelshare.intelink.gov/sites/caei/SitePages/Home.aspx CMPro Database CAEI Facility Computers CPDB Database Record Retention Matrix

Has the Retention Period for the Record been Exceeded?

If Yes, Go to Step 3 If No, Go to Step 2

3 Dispose of Record: At the end of the retention period for each record, the record is disposed of by the CPjM or CPM in accordance with the guidelines for record disposal set out by the by the commanding authority within SPAWAR.

Inputs:

Records for Disposal

This SPAWAR CAEI controlled document is a copy of an ISO 9001:2015 required and controlled document. Prior to use, ensure this copy is the most recent revision to the controlled document. To request changes, submit a Document Revision Request to the CAEI QMS Management Representative.

CAEI Website: https://intelshare.intelink.gov/sites/caei/SitePages/Home.aspx CMPro Database CAEI Facility Computers

Record Retention Matrix

k. Customers: CAEI Customer, COM, CPjM, CPM, and CAEI Employees

l. Suppliers: CAEI Employees

m. Other Processes: Document Control

n. Process-Related Assets:

1) Reference Assets:

CAEI Contracts

QMS-M-01

CAEI-M-01

2) Implementation Assets:

SPAWAR Process Template CAEI QMS Website: https://intelshare.intelink.gov/sites/caei/SitePages/Home.aspx CMPro Database CAEI Facility Computers CPDB Database Record Retention Matrix

3) Job Aids: N/A

4) Training:

CAEI Project Training CAEI Program Training CAEI Document Control Training

o. Associated Standards: ISO 9001:2015 Process Institutionalization:

g. Institutionalization areas: The CAEI Management Plan provides overall guidance on the expectations for work to be performed in support of this IPT following the process outlined within this document.

h. Verification: This process meets ISO 9001:2015 standards. Control of Records will be part of every process audit conducted by verifying all levels of documentation utilized are following the proper control and revision processes.

i. Feedback: Feedback on this process can be delivered to the CAEI Management Representative.

Feedback should be provided through the CAEI IPT website document library.

This SPAWAR CAEI controlled document is a copy of an ISO 9001:2015 required and controlled document. Prior to use, ensure this copy is the most recent revision to the controlled document. To request changes, submit a Document Revision Request to the CAEI QMS Management Representative.

Tailoring: None of the steps outlined in the process detailed within this document are subject to modification or deviation without the express written approval of the CAEI Operations Manager.

Measures: Definitions, purpose, and targets for measures are identified in the CAEI Management Metrics Plan.

The process outlined in this document will be audited for compliance on an annual basis. (ISO 9.1.3 – Analysis and evaluation)

Document Control

Procedure

Process Owner: C5ISR Acquisition, Engineering and Integration (CAEI) Quality Management System (QMS) Management Representative (MR)

Objective: The purpose of this process is to provide instructions for controlling the origination, release, approval, revision, re-approval, distribution, and maintenance of CAEI deliverable program documents other than technical drawings.

Scope: This process applies to the control of documents, including external compliance documentation required for pre-production, production, integration, and delivery of CAEI products and services. This procedure does not apply to technical drawings, non-deliverable and development documentation unless required by contract or requested by product/program/project managers or project supervisors. The control of records is addressed in the CAEI Control of Records Procedure (QMS-P-02).

Entry Criteria:

New documents identified that need to be controlled

Existing documents requiring revision

Existing documents requiring obsolescence

Approved document

Approved document revision

Approved obsolescence

Approved redlined document

Inputs:

Initial Document (Procedure, Work Instruction, Flow Chart, Form)

Revised Document Already Under Document Control

Manual

Procedure

Work Instruction

Flow Chart

Form/Tag Governing Policy

Assumptions:

Process involves collaboration between contracting and Government personnel

Business Rules:

Federal Acquisition Regulation

(FAR)

CAEI Contracts

ISO 9001:2015 Standard

QMS-M-01 Quality Manual

CAEI-M-01 CAEI Management Plan

This SPAWAR CAEI controlled document is a copy of an ISO 9001:2015 required and controlled document. Prior to use, ensure this copy is the most recent revision to the controlled document. To request changes, submit a Document Revision Request to the CAEI QMS Management Representative.

PMI PMBOK

Lean Principles Process Diagram:

Roles and Responsibilities Note: Roles discussed in this section may not be directly involved in the actual process but still have an impact on the process or will be impacted by the process. For example, a supervisor may be included in the list of roles, but may not have an action listed in the table below. The CAEI Management Plan (CMP) or associated Project Management Plan (PMP) should document the assignment of the roles listed below. Depending on the size of the project team, team members may have more than one role. At any time when a document owner changes positions or leaves the organization, the CPM/CPjM will review the documents owned by that employee. The CPM/CPjM will identify a new document owner to the QMS MR so the appropriate changes can be made to the Document Library. (ISO 5.3– Organizational roles, Responsibly and Authorities)

Roles Summary: The roles below are typically associated with this process.

Quality Management System Management Representative (QMS MR): The QMS Management

Representative ensures adherence to and improvement of the CAEI Quality Management System, also known as the CAEI Management Plan. Responsibilities include those outlined in ISO 9001:2015, Clause 5.3. For this process, the QMS MR is responsible for controlling QMS documentation as defined within this process and for auditing results of the documentation control processes. The QMS MR is also responsible for ensuring that the latest versions of CAEI Facility QMS documents are kept up to date and are available on the CAEI Facility Web Portal. The QMS MR is responsible for assigning a CAEI facility Deputy MR to serve in the absences of the QMS

MR.

Contractor Project Manager (CPjM): For all tasking assigned by the CPM, the CPjM is responsible for overall project management, ensuring that customers are satisfied, their requirements are met, and the CAEI Management Plan is followed. For this process, the CPjM is responsible for product, program, and/or contract/ project documentation control for his or her assigned tasking.

CAEI IT Lead: The CAEI IT Lead is responsible for maintaining the CAEI QMS Website and protecting and controlling access to the information contained therein.

CAEI Employees: For this process, CAEI Employees are responsible for verifying current document revisions prior to use and submitting new or revised documents for review and approval.

This SPAWAR CAEI controlled document is a copy of an ISO 9001:2015 required and controlled document. Prior to use, ensure this copy is the most recent revision to the controlled document. To request changes, submit a Document Revision Request to the CAEI QMS Management Representative.

1 Document Preparation: CAEI Employees prepare product, project, and/or program documents in accordance with internal CAEI, other Government Agencies, customer, and/or contract requirements. In the absence of specific CAEI, other Government Agencies, customer, or contract requirements, the CAEI CPM/CPjM can define document format, content, and control numbering system. Documents are prepared in accordance with CAEI system documentation numbering as follows:

Manual – Top level documents reserved for the ISO 9001:2015 QMS Manual and the CAEI Management Plan. These documents provide high level philosophies and policies for CAEI (i.e., QMS-M-01)

Procedures – High level process documents outlining the CAEI Strategic Plan, Value Stream, and the associated stand-alone quality processes supporting the CAEI facility (i.e., QMS-P- 01)

Work Instructions – Executable documents providing current practices within a department/ area describing detailed steps of how specific tasks are performed (i.e., CSRR-WI-001)

Process Flow Charts – Executable visual descriptions of current practices within a department/area describing detailed steps of how specific tasks are performed (i.e., VIDS-FC- 001)

Forms/Tags – Objective evidence materials including forms, tags, signs, technical standards, process sheets and checklists, etc. (i.e., GCCSM-F-001)

Inputs:

New document identified and requiring control

Outputs:

Initial release document uploaded to the automated approval workflow

Tools and Templates:

CAEI Document Library – New Document workflow https://intelshare.intelink.gov/sites/caei/qms/SitePages/Home.aspx

2 Document Origination/Review and Approval: The CPM/CPjM for CAEI production, products, programs, or projects assigns origination, review, and approval responsibilities to CAEI Employees on a case-by-case basis. All deliverable documents are reviewed for adequacy and approved prior to release. All CAEI Employees are authorized to submit drafts of new procedures, work instructions, or forms/flow charts. These draft documents are submitted to the drafter’s immediate supervisor/ manager for review and implementation consideration. If approved, the new procedure/work instruction or form/flow chart is submitted using the QMS Website for new document submissions. In order to maintain appropriate levels of control, the owner of a document and the individual reviewing the document cannot be the same person.

Initial release document uploaded to the automated approval workflow

This SPAWAR CAEI controlled document is a copy of an ISO 9001:2015 required and controlled document. Prior to use, ensure this copy is the most recent revision to the controlled document. To request changes, submit a Document Revision Request to the CAEI QMS Management Representative.

Approval as is or with required changes

Tools and Templates:

CAEI Document Library – New Document https://intelshare.intelink.gov/sites/caei/qms/SitePages/Home.aspx

3 Document Distribution: The latest approved versions of all CAEI controlled documents are maintained on the CAEI QMS Website. CAEI Employees needing copies can download these read-only documents or request copies from the CAEI QMS MR or designated deputy. Maintaining proper control of CAEI documentation should always be a factor in allowing an employee to have print access of those documents needed to perform their given tasks. In addition, the quality manual, procedures, and work instructions have disclaimer information printed as part of the document footer that stipulates that when printed, it is a copy of a controlled document.

Inputs:

Approved Documents

Outputs:

Access to documents through the Document Library

CAEI Document Library - https://intelshare.intelink.gov/sites/caei/qms/SitePages/Home.aspx

4 Document Changes and Re-Approval: Any CAEI Employee determining that a revision to procedures, work instructions, process flowcharts/diagrams, forms, or the Quality Manual is required, may initiate a document change by using the Web Portal tool for the submission of revised documentation. The revision request will be automatically sent to an approved user for verification of revision and the attachment of proper revised material.

Inputs:

Existing document(s) requiring update Revised document(s) overwriting previous version

Outputs:

Approved document(s) with current revision

Once the document(s) are approved users will select the revision from attached files of the HIGHEST revision level (B overrides A, C overrides B….ect.). Revised documents will not only change in revision letter but date stamp for proper control.

Tools and Templates:

CAEI Document Library - https://intelshare.intelink.gov/sites/caei/qms/SitePages/Home.aspx

5 Temporary Changes to Controlled Documents: Redline changes are considered to be temporary changes to controlled documents. Redlines must be formally incorporated into the next revision of the controlled document and/or drawing. CAEI Employees can make redline changes by

This SPAWAR CAEI controlled document is a copy of an ISO 9001:2015 required and controlled document. Prior to use, ensure this copy is the most recent revision to the controlled document. To request changes, submit a Document Revision Request to the CAEI QMS Management Representative.

drawing a single line through the item being revised, writing the revised information, and having the appropriate Program/ Product Manager and/or Supervisor sign/initial/date in red ink. Red line changes are valid for a maximum of 60 days.

Inputs:

Existing hardcopies of documents requiring update/revision

Outputs:

Hardcopies updated with redlines and initial approval

CAEI Document Library https://intelshare.intelink.gov/sites/caei/qms/SitePages/Home.aspx

p. Customers: CAEI Customer, COM, CPjM, CPM, and CAEI Employees

q. Suppliers: CAEI Employees

r. Other Processes: Document Control promotes awareness of the need to maintain control of documents to ensure quality, productivity, and safety in all other processes in the CAEI value stream

s. Process-Related Assets:

1) Reference Assets:

CAEI Contracts

QMS-M-01

CAEI-M-01

2) Implementation Assets:

SPAWAR Process Template CAEI QMS Website CAEI Document Library o New Document Workflow o Revised Document Workflow

3) Job Aids: N/A

4) Training:

CAEI Project Training CAEI Program Training CAEI Document Control Training

t. Associated Standards: ISO 9001:2015 Process Institutionalization:

j. Institutionalization areas: The CAEI Management Plan provides overall guidance on the expectations for work to be performed in support of this IPT following the process outlined within this document.

This SPAWAR CAEI controlled document is a copy of an ISO 9001:2015 required and controlled document. Prior to use, ensure this copy is the most recent revision to the controlled document. To request changes, submit a Document Revision Request to the CAEI QMS Management Representative.

k. Verification: This process meets ISO 9001:2015 standards. Document control is part of every process audit conducted, by verifying all levels of documentation utilized are following the proper control and revision processes.

l. Feedback: Feedback on this process can be delivered to the CAEI Management Representative.

Feedback should be provided through the CAEI IPT website document library.

Tailoring: External origin or compliance documents used as reference, desktop studies, or technical reports, or to which CAEI software, hardware, firmware, products, programs, or projects are required to comply, shall be controlled within the appropriate CAEI location. Each CAEI Employee has the responsibility to ensure they are working to the applicable revision of any external origin or compliance documentation. The CAEI also retains considerable external reference materials and standards. These include magazines, technical writings, journals, bulletins, monthly scientific reviews, books, and a host of other periodicals. These reference materials are controlled and maintained by the managers/supervisors assigned to the area where the reference materials are located. With the exception of the aforementioned documents, none of the steps outlined in the process detailed within this document are subject to modification or deviation without the express written approval of the CAEI Operations Manager.

Measures: Definitions, purpose, and targets for measures are identified in the CAEI Management Metrics Plan. The process outlined in this document will be audited for compliance on an annual basis. (ISO 9.1.3 – Analysis and evaluation)

Quality Manual

CAEI Quality Manual

C5ISR Acquisition Engineering Integration (CAEI) is designed to integrate both tactical and non-tactical systems assigned to the Space and Naval Warfare Systems Command System Center Atlantic (SPAWAR SSCLANT) customers. CAEI management and work is currently based in SPAWAR buildings 3112 and 1603 with associated on base warehousing facilities.

CAEI’s Quality Management System (QMS) is intended to comply fully with ANSI/ASQC Q9001: 2015 with the scope of the registration as:

Acquisition Engineering, Integration and Support of C5ISR Military Communications and Information Technology Equipment

This SPAWAR CAEI controlled document is a copy of an ISO 9001:2015 required and controlled document. Prior to use, ensure this copy is the most recent revision to the controlled document. To request changes, submit a Document Revision Request to the CAEI QMS Management Representative.

This quality manual represents the scope of CAEI’s QMS, references the processes established, identifies the relationships between the processes and defines the interaction between the processes. The relationship between ISO 9001:2015 and CAEI’s QMS is defined in this manual, the CAEI Management Plan, and the internal audit process matrix.

CAEI’s Quality Policy Statement

SPAWAR SSC LANT CAEI is dedicated to meeting customer commitments and expectations through the continuing improvement of our people, products, services, and processes.

This quality policy statement is supported by CAEI’s objectives and goals relating to Cost, Quality, Schedule, Process Improvement, Safety, Change Management, Productivity, Customer Satisfaction, and Business Relations as defined in the contract Quality Assurance Surveillance Plan (QASP).

CAEI leadership understands that without our customers there would be no need for a CAEI, as a supplier to our U.S. Navy/Marine Corps clients as well as other SPAWAR clients we understand the importance of producing the highest quality product at the very first attempt.

Our project team works closely with not only our Government leadership but with all of our external providers to ensure quality time and time again. CAEI management works closely with its people (whether they are an external provider or government employee) on not only providing a quality product but on ways to improve the processes that go into the creation of those products and services.

CAEI is committed to producing the highest quality product for our customers; we are also committed to the management standards as set forth in the ISO 9001:2015 standard. Within the ISO 9001:2015 standard the applicable clause 8.3 sub clauses 8.3.1 – 8.3.6 refer to the design and development of products and services. CAEI is not granted product design or product development capabilities within its charter. Currently, the Government customer acts as a design agent for all product design and development with CAEI receiving the final design from the design agent. As with any externally provided material, whether it is Government agent or other external provider, CAEI insures the quality of the material presented to us and that it meets or exceeds quality and process expectation.

Risk Management

CAEI is committed to identifying and continually monitoring risks that may harm the organization and/or its customers; CAEI will also regularly address interior/exterior risk that may be an opportunity adding value to our products and services. Through proper planning the steps laid out in the CAEI Management Plan (CAEI-00001) section 4.5, CAEI shall manage every task understanding the risk involved, begin every task understanding the risks involved, and will examine areas of risk to determine the proper mitigation actions necessary.

This SPAWAR CAEI controlled document is a copy of an ISO 9001:2015 required and controlled document. Prior to use, ensure this copy is the most recent revision to the controlled document. To request changes, submit a Document Revision Request to the CAEI QMS Management Representative.

Continual Improvement

CAEI management shall maintain an atmosphere accepting of positive change for the improvement of our organization, its people, and its customers. It is the people on the front lines of the organization that may well first see the possibilities for improving a process that goes into creating our final product. We encourage all employees at all levels to come forward with any improvements they think will provide a better or faster way to complete our processes while still ensuring the quality of the product. CAEI management shall regularly review organization processes for opportunities to improve through proper strategic planning. Areas of improvement will be properly prioritized, planned and implemented following proper procedure;

CAEI will continually monitor the entire continual improvement process from beginning to end to ensure the integrity of the organizations QMS.

This SPAWAR CAEI controlled document is a copy of an ISO 9001:2015 required and controlled document. Prior to use, ensure this copy is the most recent revision to the controlled document. To request changes, submit a Document Revision Request to the CAEI QMS Management Representative.

This SPAWAR CAEI controlled document is a copy of an ISO 9001:2015 required and controlled document. Prior to use, ensure this copy is the most recent revision to the controlled document. To request changes, submit a Document Revision Request to the CAEI QMS Management Representative.

Management Plan

Management Plan

For

C5ISR Acquisition Engineering Integration

(CAEI) Project

CAEI-00001

Rev F

Prepared by:

JB Lawrence

Space and Naval Warfare Systems Center Atlantic

This SPAWAR CAEI controlled document is a copy of an ISO 9001:2015 required and controlled document. Prior to use, ensure this copy is the most recent revision to the controlled document. To request changes, submit a Document Revision Request to the CAEI QMS Management Representative.

P. O. Box 190022

North Charleston, SC 29419‐5542

This SPAWAR CAEI controlled document is a copy of an ISO 9001:2015 required and controlled document. Prior to use, ensure this copy is the most recent revision to the controlled document. To request changes, submit a Document Revision Request to the CAEI QMS Management Representative.

Preface

The CAEI Management Plan (CMP) serves as the top‐level planning document for CAEI. All activities and processes performed for this IPT shall be in accordance with this plan or subordinate plans. The

CMP also describes the CAEI organization and documents roles and responsibilities.

The specific objectives for this document include:

Documentation of the tools, techniques, and methodologies to be used to support project management

Definitions and descriptions of the project management controls at the appropriate level for the CAEI

Provision of a consolidated list of references and guidelines that ensure all project activities performed in support of the IPT are integrated and aligned

The intended audience of this Management Plan includes the primary stakeholders for project execution purposes (e.g., those with internal project roles or other relevant stakeholders who execute activities under the guidance of the CMP) and other stakeholders for awareness purposes (e.g., the Program Sponsor and those stakeholders with external roles who do not execute activities in accordance with the

CMP).

Note: This document was developed in accordance with SSC Atlantic’s policies, guidance and procedures for…