J.1(a)11_Higher-Level_Contract_Quality_Requirements_List_-_DRAFT.pdf

NNA16579196R Attachment J.1(a)11

52.246-11 HIGHER-LEVEL CONTRACT QUALITY REQUIREMENT. (FEB 1999)

1. Quality system The contracted work shall be performed with a quality program in place that complies with International Organization for Standardization document SAE, AS9100 - Model for Quality Assurance in Design/Development, Production, Installation, and Servicing. Third party certification / registration is not required.

Compliance must be established within one year of contract award. If compliance with AS9100 changes or is anticipated to change for any reason NASA must be notified within three days.

2. Flow Down Requirements All applicable requirements that are invoked or applied in NASA’s purchasing documents, including this clause, shall be flowed down to the contractor’s sub-tier suppliers.

3. Certification of Compliance (C of C) A certification shall be provided for newly developed or first time delivery of hardware to attest that the parts, assemblies, subassemblies, or detail parts conform to the applicable requirements. When applicable, the true manufacturers, lot, heat, batch, date code, and/or serial number must appear on the certification. Certification must contain the following:

Order number, Line number, Part number, Name and address of manufacturing or processing location, Manufacturer’s lot, heat, batch, date code, and/or serial number (if applicable), Quantity and unit of measurement (each, box, case, gallons, etc.), and be signed and dated by an official of the company.

The applicable material test results, process certifications and inspection records shall be presented upon NASA’s request. Inspections shall be performed, documented, and provided to NASA, as necessary, to determine the acceptability of all articles. All articles submitted are subject to final inspection at NASA.

4. Certification of Compliance Raw Materials Included with newly developed or first time delivery of hardware, or raw material, shall be a raw material manufacturer's test report (e.g., mill test report) that states that the lot of material furnished has been tested, inspected, and found to be in compliance with the applicable material specifications. The test report will list the specifications, including revision numbers or letters, to which the material has been tested and/or inspected and the identification of the material lot to which it applies.

When the material specification requires quantitative limits for chemical, mechanical, or physical properties, the test report will contain the actual test and/or inspection values obtained. For aluminum mill products (except castings), certifications for chemistry may indicate compliance within the allowed range.

Certifications for physical properties will show actual values.

When converted material produced by a raw material manufacturer is supplied, all pre and post conversion chemical / physical tests reports shall be provided.

5. Special Process Certification Certain special processes are required to comply with this contract. Special processes shall be performed only by sources that have been surveyed and qualified / approved, by the supplier and / or NASA, to perform those processes.

The contractor shall provide to NASA upon request all documentation showing evidence of special processor qualification and/or certification to perform special manufacturing, assembling, and test processing as required by the contract. The contractor may elect to use only NASA approved sources.

A special process certification shall be provided with newly developed or first time delivery of item(s) delivered on this contract. Special Process Certifications may be in supplier format and shall include the following:

Customer’s Order number

Part number(s)

Serial and/or lot numbers, of the hardware processed (if applicable,)

Material process specification & revision

Objective evidence demonstrating compliance with the applicable process, (i.e. temperature charts and

Hardness test results for heat treatment, destructive test results, etc.....)

A certification stating the special process was performed per the applicable drawing/specification requirements.

Contractor’s name and address

When special processor is other than the contractor, provide a certification of compliance from the special processor stating the special process was performed per the applicable drawing/specification requirements.

Certifications must include the processor’s name, address and be signed and dated by a company official.

Each certification must be signed and dated by a company official of the contractor and/or processor attesting to the acceptance of the processes performed to the required specification(s).

The supplier shall retain all records associated with the selection and approval of supplier approved special process providers. Per contract or regulatory agency requirements, these records shall be made available to NASA and/or regulatory agencies upon request. The supplier shall notify NASA prior to destruction of records relative to this contract.

The Contractor shall insert the substance of this clause, including this sentence, in all lower-tier subcontracts for work performed under this contract.”

6. Calibration System

The contractor shall have a documented calibration system that meets the requirements of ISO 10012, “Quality assurance requirements for measuring equipment”, or the “American National Standard Institute (ANSI)/National Conference of Standards Laboratories (NCSL) Z540-1, General Requirements for Calibration Laboratories and Measuring and Test Equipment”.

7. Configuration Management System The contractor shall be responsible for controlling / tracking changes to parts, components, and assemblies manufactured or maintained to ensure that the product meets specified design functional and physical characteristic requirements. This includes any part, component, or assembly manufactured or maintained to the contractor’s, NASA’s, or a vendors’ drawings, specifications, or special process procedures. Any controlled document officially submitted to NASA must be up to date. If a change is made NASA must be informed and the controlled document must be withdrawn and resubmitted. Once a part, component, or assembly has been accepted by NASA, configuration control shall use the NASA system and any changes must be approved in advance by the Observatory Change Control Board. At a minimum, each part, component, or assembly “configuration documents” shall define the requirements, designs, build / production and verification for a configuration controlled item. This record shall be signed and dated by an official of the contractor’s Quality Assurance department, and in addition to the aforementioned required information, shall include the following minimum requirements:

Contract number

Line item number

Part number (Of deliverable item and all traceable/repairable sub-tiered parts)

Serial number (Traceability as required per contract/purchase order)

Lot number (Traceability as required per contract/purchase order)

Drawing number (For Drawings related to deliverable item and all traceable/repairable sub-tiered parts)

Revision level (baselined configuration of drawing to which hardware was built)

Engineering order(s) (or equivalent drawing changes as applicable) Customer approved deviations and waivers (as applicable)”

8. Change Authority

The contractor shall provide in writing advance notification to NASA of any change(s) to tooling, facilities, materials or processes that could affect the products produced by this contract. This includes, but is not limited to, fabrication, assembly, handling, testing, facility location or introduction of a new sub-tier supplier.”

9. Critical Processes The following shall apply to NASA designated “critical processes” performed by the contractor:

The contractor will notify NASA of proposed changes in process definition and, will obtain approval from NASA prior to implementing the change. Changes affecting processes, production equipment, tools and programs shall be documented. Procedures shall be available to control their implementation.

The following shall apply to contractor designated “critical processes” that have been sub contracted:

The contractor will notify NASA of proposed changes in process definition and, will obtain approval from the customer prior to implementing the change.

Changes affecting processes, production equipment, tools and programs shall be documented. Procedures shall be available to control their implementation

10. Government Source Inspection (GSI) All work on this contract is subject to inspection and test by the Government at any time and any place. Government inspection is required prior to shipment from the development facility. Government inspections performed will be determined by the delegated Government inspection representative and may be conducted during processing, fabrication, or final inspection. If a facility is not serviced by Government inspection and/or the area Government inspection representative or agency cannot be located, immediately notify NASA. NOTE: Do not proceed with fabrication/manufacture processing until Government mandatory inspection points (GMIPs) are added to the manufacturing planning.

GMIPs shall not be by-passed unless authorized in writing by the Government inspection representative. The contractor shall request and include the documents specified in the Government delegation, in the shipment. The Government’s request for source inspection shall specify the period and method for the advance notification and the Government representative to whom it shall be furnished. Request shall not require more then 2 workdays of advance notification of the Government representative is in residence in the developer’s plant, nor more then 7 workdays in other instances. The developer, without additional charge, shall provide all reasonably required facilities and assistance (applicable drawings, specifications, change orders, inspection and/or test equipment) for the US Government representative to perform their duties. The developer shall ensure that Government inspection acceptance is evident for every individual GMIP and that completion of Government inspection is evident on the developer’s shipping/acceptance document/packing list. Evidence may be the signature of Government inspection representative with printed name and office, or application of the representative's stamp. The Government shall accept or reject supplies as promptly as practical after delivery, unless otherwise provided in the contract. Government failure to inspect and accept or reject the supplies shall not relieve the Contractor from responsibility, nor impose liability on the Government, for nonconforming supplies. When manufacturing processing affected by GMIPs is subcontracted, the provisions of this Clause shall be included in the Purchase Order verbatim.”

11. Non-Destructive Inspection/ Non-Destructive Test Certification

The contractor shall provide a certificate for the NDI/NDT performed. As a minimum, the certification shall contain the following information:

Customer’s Purchase Order / Contract number

Name and address of the Company performing NDI/NDT;

Date of Inspection;

Quantity of parts tested by part number;

Specification or other requirement defining the NDI/NDT acceptance / rejection criteria;

Inspector/name/stamp and NDI/NDT certification level;

NDI/NDT specification including revision;

Material or item identification (part number, heat lot number, Foundry Record (FR) number;

Material or item traceability (serial number, lot number, batch number, lot/date code);

Inspection results (accept/reject);

Reference to previous NDI/NDT reports for repair/rework if applicable;

Reference to attached recordings i.e., films or photographs if applicable;

A record of the procedures or techniques used and actual results shall remain on file for at least five years after the end of this contract and shall be furnished to NASA upon request. These records shall include all information required in the previous paragraph as well as acceptance / rejection criteria, and related test instrument data used in the NDI/NDT process.

12. 100% Attribute Clauses The contractor shall submit (1) reproducible copy of all inspection documentation stamped by the responsible quality inspector showing 100% inspection for all attributes noted on the drawings, for all manufactured parts submitted under this Contract.

13. Limited Operating Life Items The contractor will collect and maintain records of operating time or cycles for all items designated as Limited Operating Life Items by drawings or specifications traceable to the individual item by part number and serial number. Records will include the total elapsed time or cycle for each operation, cumulative time or cycles starting with the first functional test, and remaining time or cycles.

14. Packaging Requirements The contractor shall be responsible for ensuring that items provided under this contract are packaged in such a manner that the dimensional integrity is preserved, contamination and corrosion are prevented, and no physical damage occurs or, when specified, that packaging is in accordance with the drawing, appropriate ASTM, MIL, or other applicable specified requirement.

15. Packaging Handling & Labeling

The contractor shall provide packaging that maintains the quality of an item and prevents damage, deterioration, substitution or loss in transit. The contractor shall label the exterior of the package to ensure adequate identification of precautions needed to ensure the integrity of the product being shipped. The contractor must specify the handling and shipping methods that ensure proper and on-time delivery without damage to the product. The contractor shall ensure that special labeling requirements shall also be listed in the appropriate shipping documents and on each package.”

16. Shipping Documents The contractor shall furnish Commercial Shipping Documents/Packing List, capable of being photographically reproducible through two additional reproductions, showing the following:

• Part Number(s)

• Description

• Qty shipped

• Lot/Date Code/serialization (as applicable)

• Any handling constraints or cautions such as, but not limited to:

◦ Optics; open only in clean room environments.

◦ ESD sensitive items, open only at approved ESD workstation.

◦ Moisture sensitive components, open/store only in humidity controlled area.

◦ Shock sensitive components (shock monitoring should be specified if required.

17. Nonconformance Reporting NASA grants no MRB authority to the contractor or it’s sub-tier suppliers. Repair is not allowed. Definitions: Nonconformance: A condition of any article, material or service in which one or more characteristics do not conform to requirements specified in the contract, drawings, specifications, or other approved product description. Includes failures, discrepancies, defects, anomalies, and malfunctions. Rework: Used when an article can be made to conform to drawing requirements. Detailed instructions must be included or referenced. Repair:

Used when the nonconforming article, material or service can be corrected to a usable condition, although its condition will not be identical with drawing / specification requirements. The contractor shall ensure that a product which does not conform to product requirements is identified and controlled to prevent its unintended use or delivery. The controls and related responsibilities for dealing with nonconforming product shall be defined in a documented procedure. The contractor’s documented procedure shall define the responsibility for review and authority for the disposition of nonconforming product and the process for approving personnel making these decisions.

Data Requirements: Any nonconformance discovered by the contractor, on products in their control, shall be documented by the contractor’s approved method of nonconformance reporting. This shall include a detailed description of the nonconformance; location (by drawing reference point, hardware reference point, clock location, etc.); and exact callout of the violation by drawing or specification requirement (including sub-paragraph or illustration number). It shall also list what type of inspection revealed the discrepant condition, and what, if any, subsequent actions were taken prior to disclosure. Dimensional violations shall include “should be” and “is” dimensions, and tool(s) calibration traceability numbers.

18. GIDEP

The contractor shall participate in the Government-Industry Data Exchange Program (GIDEP) in accordance with the requirements of the GIDEP S0300- BT- PRO-010 and S0300-BU-GYD-010, available from the GIDEP Operations Center, PO Box 8000, Corona, California 91718-8000. The contractor shall review all GIDEP ALERTS, GIDEP SAFE-ALERTS, GIDEP Problem Advisories, GIDEP Agency Action Notices, and NASA Advisories to determine if they affect the contractors products/services provided to NASA. For those that affect the program, the contractor shall take action to eliminate or mitigate any negative effect to an acceptable level. The contractor shall generate the appropriate failure experience data report(s) (GIDEP ALERT, GIDEP S AFE-ALERT, GIDEP Problem Advisory) whenever failed or nonconforming items, available to other buyers, are discovered during the course of the contract."

19. Records Retention The contractor and subcontractors shall maintain verifiable objective evidence of all inspections and test performed, results obtained and dispositions of non-conforming articles. These records shall be identified to associated articles, including heat and lot number of materials, unit or lot serialization and made available to NASA and/or Government Representatives upon request and shall be retained in a safe, accessible location for a period of ten (10) years after the end of this contract.

The contractor's records associated with the manufacture of serialized or lot controlled articles will provide for continued traceability of serial numbers or lot number identification through all phases of manufacture, commencing with the raw material and continuing through final acceptance of the end item.

Records held for the required retention period (ten years) shall not be destroyed without NASA's written concurrence.

20. Electrical Wire and Cable Test Report The contractor shall provide certification that all electrical wire or cable furnished under this contract conforms to the applicable specifications.

For each lot or cable used or provided, a certified test report or copy thereof shall be provided. The test report shall, at a minimum, include a record of the physical, chemical, or electrical (and in the case of RF cable, electronic) inspections and tests conducted to satisfy the acceptance requirements of applicable specifications, and shall include numerical results when applicable. For cables, these requirements apply to both basic and finished cable.

When the specification requires other inspection or test data to be reported, it shall be included in the test report.

Reports shall provide the contractor or supplier’s name, the specification number and revision date or change letter, and other data required by the specification, and must be identified to or correlated with a lot.

21. EEE parts Date of Manufacture All Electrical, Electronic or Electromechanical (EEE) parts procured by the contractor or its suppliers shall have been manufactured within three (3) years from the delivery date for Plastic Encapsulated Microcircuits (PEMs) and five (5) years for all others. This shall include all sub-assemblies of the article being procured.

Any deviation from this requirement shall be in the form of a written authorization from NASA.

22. Electrostatic Discharge (ESD) Protection Program and Packaging The contractor shall document and implement an ESD Control Program in accordance with ANSI/ESD S20.20, ESD Association Standard for the Development of an Electrostatic Discharge Control Program for Protection of Electrical and Electronic Parts, Assemblies and Equipment (Excluding Electrically Initiated Explosive Devices). Parts must be properly packaged and identified as required in ANSI/ESD-S20.20. All goods will be placed in conductive or static-dissipative packages, tubes, carriers, conductive bags, etc., for shipment. The packaging must be clearly labeled to indicate that it contains electrostatic sensitive goods. Electrical parts that may be used or shipped in conjunction with ESD sensitive parts shall be treated as ESD sensitive.”

23. High Strength Fasteners The contractor will provide a legible copy of the manufacturer's certification for all high strength fasteners purchased or used for this contract. The certification will include the following information:

(a) Name and address of the manufacturer.

(b) Part number and the ordering and procurement specification, including revision levels that controlled the manufacture of the goods.

(c) Manufacturer's production order/lot number.

(d) Raw material data: (1) Material specification. (2) Alloy class, type, or grade.

(3) Raw material heat, lot, or melt number. (4) Name of raw material producer.

(e) Chemical analysis report.

(f) Mechanical test report as defined by the applicable specification (e.g. Tensile and/or single/double shear strength).

(g) Metallurgical examination report as defined by the applicable specification (e.g. microstructure and/or macrostructure).

(h) NDT test results: dye penetrant, and magnetic particle results, when required by applicable specification.

If contractor is not the manufacturer, the contractor’s name and NASA contract number will be referenced on the manufacturer's certification. The contractor shall be responsible for ensuring that items are packaged in such a manner that the dimensional integrity is preserved, contamination and corrosion are prevented, and no physical damage occurs to the threads during shipment. The preferred method, when size permits, will be to individually sleeve the threaded portion of the fastener. Any method used shall insure that threads remain undamaged during shipment. Bulk packaging of unprotected threads is prohibited. Fasteners made of plain carbon or low alloy steel shall be protected from corrosion. When plating is specified, it shall be compatible with the space environment (as appropriate). On steels harder than RC 33, plating shall be applied by a process that is not embrittling to the steel.”

24. Pressure Vessels The contractor shall provide two copies of American Society of Mechanical Engineering (ASME) Code Reports showing conformance of the units to the requirements of the Pressure Vessel Code. When required, the hardware markings must be in accordance with the applicable drawing/specification. The pressures tested/certified to and the method used shall be indicated.

25. Software Quality Management System The contractor shall provide and maintain a software quality management system that complies with NASA-STD-8739.8 (Software Assurance Standard) and NASA-STD-8719.13B (Software Safety Standard).