IVV 05

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Document Control Effective Date:
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Verification &
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AUTHORITY DATE
Jeffrey Northey (original signature on file) IMS Manager 08/02/2017
Richard Grigg (original signature on file) Document Owner 08/02/2017

REFERENCES
Document ID/Link Title
Form 1000 Document Change Request
IMS Master List NASA IV&V Management System Documentation
Master List
IMS Version History IMS Version History Overflow Document
ISO 9001 International Organization for Standardization:
Quality management systems - Requirements
IVV QM NASA IV&V Quality Manual
IVV 10 Software and Hardware Configuration
Management
IVV 16 Control of Records
NPR 1441.1 NASA Records Management Program
Requirements

If any process in this document conflicts with any document in the NASA Online Directives
Information System (NODIS), this document shall be superseded by the NODIS document.
Any external reference shall be monitored by the Process Owner for current versioning.

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Document Control Effective Date:
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1.0 Purpose

The purpose of this system level procedure (SLP) is to establish a consistent

method for preparation, approval, issuance, revision, cancellation, tracking, and
maintenance of NASA IV&V Management System (IMS)-controlled
documentation.

2.0 Scope

This SLP is applicable to all documentation that pertains to the IMS. This
includes all documents specifically designated as IMS Documents, which include
all SLPs, Work Instructions (WIs), templates, supporting documents, and forms.

3.0 Definitions and Acronyms

Official NASA IV&V roles and terms are defined in the Quality Manual.
Specialized definitions identified in this SLP are defined below.

3.1 Document Change Request (DCR) Log

The DCR Log is a spreadsheet used by the Document Control Custodian

(DCC) to track DCRs. The DCR Log captures information including the
assigned DCR number, DCR number assignment date, IMS Document
number and name, approval date, and Document Owner (DO). The DCR
Log helps to ensure that there is only one DCR open per IMS Document
at a time.

3.2 Document Change Request Originator (DCR Originator)

A DCR Originator is any NASA IV&V civil service or contract employee

who requests an addition, revision, or cancellation of an IMS Document.

3.3 Document Package

Used in the prior versions of this procedure (June 2017 and earlier), the
Document Package consisted of the DCR (documented on form 1000)
and copies of the Review Drafts that contain reviewer comments.

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3.4 Document User

A document user is any NASA IV&V employee who uses the IMS.

3.5 IMS Documents

IMS Documents are all IMS Processes, SLPs, WIs, templates, supporting
documents, and forms.

3.6 Review Draft

A Review Draft is a copy of a revised IMS Document that is evaluated in

accordance with this SLP.

3.7 Reviewer

A Reviewer is anyone who reviews a revised or new IMS Document or a

cancellation request. Types of Reviewers may include: Peer Reviewer,
Technical Reviewer, and Records Reviewer. The Document Owner (DO)
and the Approving Official also serve as Reviewers providing input and
approval during the document change procedure.

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3.8 Acronyms

CAR Corrective Action Request

DCC Document Control Custodian
DCR Document Change Request
DO Document Owner
ECM Enterprise Content Management
GPR Goddard Procedural Requirements
IMS NASA IV&V Management System
ISO International Organization for Standardization
NODIS NASA Online Directives Information Service
NPD NASA Policy Directive
NPR NASA Procedural Requirements
PAR Preventive Action Request
QM Quality Manual
SLP System Level Procedure
URL Uniform Resource Locator
WI Work Instruction

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Document Control Effective Date:
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4.0 Procedure Flow Diagrams

The following diagram depicts procedures and steps described in this document,
and the responsibilities and actions that shall be performed by process
participants or their designees.

Any supplemental information will appear after the diagram.

4.1 Addition, Revision, or Cancellation of an IMS Document

This section applies to the addition, revision, or cancellation of IMS

Documents, which includes: SLPs, WIs, templates, supporting documents,
and forms.

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Document Change Document Control Approving

Document Owner (DO) Peer Reviewer(s)
Request (DCR) Originator Custodian (DCC) Official

Logs request in DCR Log.

Submits DCR Evaluates Request
Assigns DCR #

Receives notification that the DCR NO Accepts

was not accepted (with justification) Request ?

Yes
Marks the DCR as
Rejected in DCR Log
Creates/updates
document
if needed

Specifies Reviewers
and forwards Reviews document,
document provides feedback

Collaborates with Performs technical Evaluates feedback,

DCC to address reviews (unless a revises document if
changes if needed cancellation) needed

Reviews document

Prepares final version

(unless a cancellation).
Updates DCR Log.
Updates electronic files:
IMS Master List,
ISO Mapping Diagram and
IMS Reference Mapping
Diagram.
Publishes/cancels
electronic documents
(Final version, Master List, Ensures changes are
Mapping Diagrams),
appropriately
Notifies IMS Users of
document updates communicated

The IMS Manager shall assign a DO for any new IMS Document. If
necessary, the IMS Manager shall reassign DOs for existing documents.

4.1.1 Initiating

The Document Change Request (DCR) Originator shall propose

the addition, revision, or cancellation, of an IMS Document by
notifying the Document Control Custodian (DCC). Notification
methods include: email, SCO-JIRA action item, or completing Form
1000, Document Change Request. The Originator shall include the

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following information: document number and title, comments clearly

identifying any modifications to be made, and the rationale for why
these changes are being proposed.

Minor and editorial changes may be made by directly editing the

IMS Document in Confluence. Draft versions of new documents
may be added by following the instructions in Confluence here or at
https://confluence.ivv.nasa.gov:8445/display/IMS/Creating+a+new+
IMS+Document. Major changes should be made by using the
“Export to Word” feature and then editing with Track Changes ON.

To facilitate notification, document owners will use the “Watch”

feature of Confluence to monitor their documents and the DCC
shall “Watch” all IMS documents.

4.1.2 Preparing

The DCC may save an electronic copy of the DCR notification and
any working drafts in the IMS directory on the Enterprise Content
Management (ECM) System. If the DCR is associated with a new
IMS Document, the DCC will assign a document number and
confer with the IMS Manager to assign a DO.

If the document is determined to be an INTERNAL USE ONLY

document, the DCC shall ensure that suitable cover page, footers,
etc. are created and used.

The DCC shall also specify Peer Reviewers. Only minor and
editorial updates to a document are exempt from the Peer Review
process. In all other instances of addition, revision or cancellation
to the IMS, the DCC shall identify one or more peers to perform the
Peer Review. If the Document Owner is not an Office Lead, then
the relevant Office Lead will be assigned as one of the Peer
reviewers. If the DCR is associated with a Corrective Action
Request (CAR) or Preventive Action Request (PAR), the DCC will
specify that the CAR/PAR Originator is included as a Peer
Reviewer, if not already part of the review/approval process.

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The DO shall evaluate the DCR to determine if the DCR is

acceptable and applicable.

4.1.2.1 Acceptance

If the DO accepts the DCR, the DO will incorporate the

modifications into the document, and return the modified
document to the DCC. The DCC will notify peer
reviewers. As part of preparation, the DCC will create a
working subfolder in the IMS Documents folder on the
ECM System as a place to store associated documents
in electronic format.

4.1.2.2 Rejection

If the DO rejects the DCR, the DO shall provide rationale

for the rejection to the DCR Originator and DCC. For
tracking purposes the DCC will document the rejection in
the DCR Log.

4.1.3 Peer Review

Peer Reviewers shall review and provide comments on the

additions, revisions, or cancellation being proposed in the Review
Draft. After commenting, they should notify the DO, Peer
Reviewers and the DCC.

The DO shall evaluate the Peer Review comments and modify the
document accordingly. If the DO decides not to address some or
any of the Peer Review comments, he/she shall provide rationale to
the Peer Reviewer(s) as to why the comments would not result in
modifications to the document. After all modifications are
completed, the DO shall notify the DCC. The Review Draft from the
DO may be in physical or electronic format.

4.1.4 IMS Technical Edit Review

The DCC shall conduct a technical edit review of the draft IMS
document. The technical edit review includes:

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 Review the IMS Modifications Needed Spreadsheet for any

changes that need to be incorporated.

 Inspection of the Review Draft for technical and grammatical

deficiencies and make modifications where needed.

 Review of the Records Table in the Records section, to

verify that all records pertinent to the documented process
have been captured in the table, and that all records’
retention periods and locations are correct and up to date.

 Move Version History information that has exceeded its

retention period to the Version History Overflow Document.

If any modifications resulting from the technical edit review

significantly alter the logic or process of the document, the DCC
shall return the Review Draft to the DO for verification of
correctness and approval. After addressing any such
modifications, the DO shall notify the DCC.

Once the technical edit review is completed, the DCC shall notify
the Approving Official.

4.1.5 Final Review

The Approving Official shall review the modifications proposed. If

the Approving Official approves the changes (or approves with
comments), he/she shall notify (with any comments) the DCC for
further processing.

If the Approving Official does not approve, he/she shall notify the
DCC for resolution.

If needed, the DCC shall modify the Review Draft, collaborating

with the DO as needed to address the Approving Official’s
concerns. The modified document shall be returned to the
Approving Official for further review.

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4.1.6 Finishing

The DCC shall post electronic copies of final versions of new and
updated documents to the IMS Confluence pages. If these are
INTERNAL USE ONLY documents, they shall be excluded from
public access. If a cancellation is approved the DCC shall remove
the prior posted documents and show the document as canceled in
the lists; after a reasonable period the document shall be removed
completely from the lists.

The DCC shall update the IMS Master List, ISO Mapping Diagram,
IMS Reference Mapping Diagram, and IMS Version History
Overflow Document as needed. For public lists and diagrams,
INTERNAL USE ONLY documents shall either be excluded
completely or document Titles shall be excluded and replaced with
“FOR INTERNAL IV&V PROGRAM USE ONLY”.

The DCC shall publish the final draft, IMS Master List, ISO Mapping
Diagram, and IMS Reference Mapping Diagram; and notify
document users of all document updates via email.

Periodically, the public IMS website will be updated to the latest

versions from the official documents on Confluence. INTERNAL
USE ONLY documents shall not be posted to the public IMS
website.

Upon publication, the Document Owner shall ensure that the

changes are appropriately communicated. The DO should consider
at least the following items:
 magnitude of the change(s)
 the target audience(s)
 communication mechanism(s)
 potential training sessions

4.2 Controlled Versions

Electronic versions of documents made available through the IMS

Confluence pages are the official, controlled versions. Copies printed

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from these versions are considered uncontrolled and must bear a notice
analogous to: “Verify that this is the correct version before use.”

The DCC shall verify that published documents match the current IMS
Master List and shall resolve any discrepancy by auditing Master List
revisions and the DCR Log. The DCC shall remove obsolete versions of
all IMS Documents when posting revised documents to the public IMS
website.

4.3 Controlling External Changes

All NASA and Center directives – e.g., NASA Policy Directives (NPDs),
NASA Procedural Requirements (NPRs), Goddard Procedural
Requirements (GPRs), etc. – are available electronically from the NASA
Online Directives Information Service (NODIS) repository
(http://nodis3.gsfc.nasa.gov). If any process in the IMS conflicts with any
document in NODIS, the IMS Document shall be superseded by the
NODIS document. Any external reference shall be monitored by the
Document Owners for current versioning.

4.3.1 Document Owner Monitoring

This procedure applies to all DOs that use external documents or

other references (e.g., websites…) in their IMS documents.

DOs shall ensure that their IMS documents reference any external
sources used in the enactment of those procedures.

For a given external reference:

 If only the most current version is applicable, the DO shall
include only the source for verifying that current version
(e.g., the publisher or originator).
 If any version older than the most current version is
applicable, the DO shall specify which version is being
referenced.

The DO shall be responsible for monitoring all external references

captured in his/her IMS Documents in order to ensure that his/her

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IMS procedures maintain correct references and proper adherence

to applicable standards.

4.4 IMS Annual Document Review

The IMS Annual Document Review is a control mechanism to ensure IMS

documents are reviewed by their respective Document Owners on a
regular basis to ensure accuracy of our documents and for areas of
potential improvement. The DCC shall inform POs of any modifications
that have been noted in the IMS Modifications Needed Spreadsheet,
including both exclusive modifications and blanket modifications that apply
to all or many documents.

During the IMS Annual Document Review, DOs shall review the IMS
document(s) they own for at least the following:
 Any inaccuracies
 Any organizational changes affecting the document
 Any procedure changes
 Any metric changes
 Any new or now obsolete external references
 Any Reference Document changes including titles
 Any links, URLs, or email address changes
 Any changes to databases or other data repositories used
 Any potential areas of improvement

Refer to the IMS Master List to see details of who the DO is for each IMS
document.

4.5 Contingency Plan

If the IMS electronic repository file is temporarily inaccessible, document

users shall contact the DCC to determine the current versions of
documents and forms.

5.0 Metrics

Any metrics associated with this SLP are established and tracked within the
NASA IV&V Metrics Program.

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6.0 Records

The following records will be generated or updated and filed in accordance with
this SLP and IVV 16, Control of Records, and in reference to NPR 1441.1, NASA
Records Management Program Requirements.

Responsible Retention
Record Name Original Vital Location
Person Requirement
Destroy when 7
DCR Log Y N DCC ECM System
years old (1/26.5A)
Document Package
Destroy when 7
(created 2017 and Y N DCC Filing System
years old (1/26.5A)
prior)
Confluence,
Destroy when 7
IMS Master List Y N DCC Public IMS Website,
years old (1/26.5A)
ECM System
Confluence,
IMS Reference Destroy when 7
Y N DCC Public IMS Website,
Mapping Diagram years old (1/26.5A)
ECM System
Confluence,
IMS Version History Destroy when 7
Y N DCC Public IMS Website,
Overflow Document years old (1/26.5A)
ECM System
Confluence,
ISO Mapping Destroy when 7
Y N DCC Public IMS Website,
Diagram years old (1/26.5A)
ECM System

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VERSION HISTORY
Version Description of Change Rationale for Change Author Effective Date
Basic Initial Release John 01/29/1998
Griggs
IT/204
A – AA Revision information older than 7-year Various 04/30/1998 –
retention period relocated to Version 07/14/2010
History Overflow Document
AB Updated Section 4.3 to remove necessity Electronic copy is the official version. Sara Cain 09/15/2010
of Master List hard copy; clarified the Electronic backup copies exist.
content of Section 4.6.1
AC Updated Section 4.2, 4.2.2, and 4.2.3 to Process changes for efficiency have Richard 01/06/2011
reflect actual review process. Technical been tried and found to be effective. Grigg
and Records Reviews may be performed
in parallel.
AD Updated Section 4.0 for clarity (flow). Simplifying for easier user Richard 03/14/2011
Added IMS Reviews in section 4.2.2 to comprehension Grigg
encompass Technical, Records and Final
reviews. Removed MLC. Removed
CAR/PAR Originator.

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VERSION HISTORY
Version Description of Change Rationale for Change Author Effective Date
AE Renamed to “Document Control”; No actual data controlled by this SLP. Richard 10/24/2011
removed Data section. Updated Section Some POs had questions about ADR. Grigg
4.0 for clarity (flows). Added Annual Continued simplification.
Document Review PO responsibilities.
Removed Technical Reviewer, Records
Liaison/Custodian.
AF Remove cancellation flow; incorporate PAR: 2012-P-343. Cancellation Richard 04/20/2012
Office Lead as one of the Peer Reviewers handled the same as any other Grigg
when the Process Owner is not the Office revision. Eliminated the possibility
Lead. Add IMS Modifications Needed that changes would be made without
Spreadsheet references. Office Lead being aware.
AG Add capture of rationale. PAR: 2012-P-375. Rationale for Richard 01/31/2013
Clarify process of DCR rejection by PO. changes is frequently lost or Grigg
documented in email or other hard to
retrieve documents.
AH Add a requirement for process owners to Updates may be made without users Richard 03/10/2014
provide training or familiarization to their being aware; then processes may not Grigg
users when a document is updated. be properly followed.

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VERSION HISTORY
Version Description of Change Rationale for Change Author Effective Date
AI Add blanket modifications to ADR PAR: 2014-P-415. Blanket Richard 10/16/2014
process. Update external references to modifications may be overlooked if not Grigg
include websites and any other deliberately implemented at ADR.
references. Update flow to add PO External references are not just
requirement to communicate changes. documents anymore. Version history
Add references to Version History overflows are captured in an IMS
Overflow Document. document that is published.
AJ Add reference to IVV 16 in sections 4.1 Add clarity for filing DCR package. Richard 10/20/2016
flow and 4.1.6, Final Processing. Address Raise awareness of new type of Grigg
INTERNAL USE ONLY documents. published documents and handle
Remove “:2008” from ISO 9001 appropriately. Current ISO 9001
references. version has changed.
AK Remove references to the Document Older DCR method is replaced by a Richard 08/02/2017
Package and signing the DCR form. more streamlined, efficient, and Grigg
Remove references to Templates (T2002, effective method.
T2003, and T2004). Update handling of Official versions of IMS documents
editorial changes. are now on Confluence.
Change “Process Owner (PO)” to Per ISO 9001:2015, “Process” now
“Document Owner (DO)”; also “Process” refers to a higher level grouping of
to “procedure” or “method”. procedures, WIs, and methods.

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