Independent Verification & Validation Program / Work Instruction for Processing Research Products / IVV 09-7-5
Revision: H
Effective Date:
July 29, 2010

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APPROVAL SIGNATURES / DATE
Gregory Blaney (original signature on file) / IMS Representative / 07/29/2010
REVISION HISTORY
Revision / Description of Change / Author / Effective Date
Basic / Initial Release / Frank Gmeindl / 09/10/2003
A / Updated reference documents to include relevant standards. Evaluated and updated the metrics collected as a result of this process. / Wes Deadrick / 11/03/2004
B / Clarify sections 5.4 and 6.5 / Frank Gmeindl / 06/08/2005
C / Aligned with other NASA IV&V Facility documentation / Lisa Montgomery / 02/09/2006
D / Change deliverables to Research Products. Replace Support Contractor cursory review with University Research Liaison initial technical review. / Frank Gmeindl / 06/06/2006
E / Update process flow diagrams to align with Facility Management paradigm / Stephanie Ferguson / 12/20/2007
F / Changed “IV&V Facility” to “IV&V Program”; updated Section 6.0, Records / Stephanie Ferguson / 02/11/2009
G / Changed from IVV 09-3-5 to IVV 09-7-5; updated to reflect current practices for processing research products and changed “Chief of Research” to “SARP Lead” / Lisa Montgomery / 04/02/2010
H / Added reference document precedence statement / Sara Cain / 07/29/2010
REFERENCE DOCUMENTS /
Document Number / Document Title /
IVV QM / NASA IV&V Quality Manual
IVV 09-7 / Research Program
IVV 09-7-7 / Work Instruction for the Publication/ Presentation of Research Results
IVV 16 / Control of Records
NASA Form 1676 / NASA Scientific and Technical Information (STI) Document Availability Authorization (DAA)
NPR 1441.1 / NASA Records Retention Schedules
NPR 5100.4 / Federal Acquisition Regulation Supplement
NPR 5800.1 / Grants and Cooperative Agreement Handbook

If any process in this document conflicts with any document in NODIS, this document shall be superseded by the NODIS document. Any reference document external to NODIS shall be monitored by the Process Owner for current versioning.

1.0  Purpose

The purpose of this work instruction (WI) is to establish a consistent method for processing Research Products that are delivered to the NASA IV&V Program through the Center Initiative Management (CIM) Tool.

2.0  Scope

This WI is applicable to all Research Products, as well as all Research Initiative Principal Investigators (PIs) and NASA Points of Contact (NPOCs), the Software Assurance Research Program (SARP) Lead, the Research Support Team, and other personnel involved with the Office of Safety and Mission Assurance (OSMA) SARP or the NASA IV&V Research Program.

3.0  Definitions and Acronyms

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

3.1  Public Release Authorization (PRA) Status

PRA Status is a field in the CIM Tool that indicates both the intention regarding publication and the clearance status of a Research Product.

3.2  Acronyms

CIM / Center Initiative Management
DAA / Document Availability Authorization
IMS / NASA IV&V Management System
NPOC / NASA Point of Contact
NPR OSMA / NASA Procedural Requirement
Office of Safety and Mission Assurance
PI / Principal Investigator
PRA / Public Release Authorization
QM / Quality Manual
RRWS / Research Results Web Site
SARP / Software Assurance Research Program
STI / Scientific and Technical Information
WI / Work Instruction

4.0  Process Flow Diagram

The following diagram depicts the process described in this document, and the responsibilities and actions that shall be performed by process participants. Any information supplemental to the depicted process will appear after the diagram.

After the Research Product is uploaded to the CIM Tool, the Research Product is subject to review and approval by the NPOC and the SARP Lead via the CIM Tool. Throughout the Research Product’s review and approval cycle, the Research Product can transition through the following states in the CIM Tool:

·  Submitted – Research Product uploaded to the CIM Tool

·  Rejected – Research Product rejected by NPOC or SARP Lead

·  Accepted – Research Product accepted by SARP Lead

·  Cancelled – Research Product cancelled by SARP Lead


If a Research Product is rejected, the CIM Tool creates a new space within the tool for the PI to upload a revised Research Product for review. The rejected Research Product remains in the CIM Tool with a status of “Rejected.”

Throughout the Research Product’s review and approval cycle, the CIM Tool sends email notifications regarding Research Product status and approval decisions, including comments entered by reviewers, to appropriate recipients.

If the SARP Lead decides to conduct a formal evaluation of the Research Product, the SARP Lead selects the “Formal Evaluation” option from the “Decision” list in the CIM Tool. The CIM Tool notifies the Research Support Team that the SARP Lead has requested a formal evaluation.

The Research Support Team shall publish on the Research Results Web Site (RRWS) accepted Research Products that have a Public Release Authorization (PRA) status of “Cleared.” The following table explains the PRA Status options that you will see in your initiative in the CIM Tool.

Research Product PRA Status / Interpretation
? / Neither the PI nor NASA has decided if he/she wants to release the research product to the public.
N/A / (Not Applicable): Public Release Authorization is not required. The research product will not be released to the public.
Required / The PI must submit the appropriate public release authorization document (NASA Form 1676). The research product is not acceptable until a completed public release authorization form is signed by the NASA IV&V Director.
Cleared / Appropriate public release authorization (NASA Form 1676) signed by IV&V Facility Director or your Center Director if your Center document availability authorization process requires.
Published / The research product is available to the public on the Research Results Web Site.

To obtain a PRA status of “Cleared,” a Research Product must be cleared with a NASA Form 1676, NASA Scientific and Technical Information (STI) Document Availability Authorization (DAA).

Additional information can be found in IVV 09-7-7, Work Instruction for the Publication/Presentation of Research Results.

5.0  Metrics

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

6.0  Records

The following record will be generated or updated and filed in accordance with this WI and IVV 16, Control of Records, and in reference to NASA Procedural Requirement (NPR) 1441.1, NASA Records Retention Schedules.

Record Name / Original / Vital / Responsible
Person / Retention Requirement / Location
Research Products / Y / Y / SARP Lead / Delete/destroy 6 years,
3 months after completion of grant/contract/agreement.
(5/37A) / CIM Tool

CHECK THE MASTER LIST at http://ims.ivv.nasa.gov/

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