WQA Bulletin Nonconforming Material Report (NMR) Process Improvements

WEAPON QUALITY ASSURANCE (WQA) BULLETIN NNSA WEAPON QUALITY DIVISION (NA-121.3) October 2021 Nonconforming Material Report (NMR) Process Improvements NNSA Policy (NAP) 401.1, Weapon Quality Policy, Attachment 3, Section 4.1.4, Nonconforming Material Report Process, lists requirements for the identification, notification, and disposition of suspect or nonconforming material that is shipped between NNSA sites. The requirements listed, however, do not explicitly describe the process that is expected to be followed, and this has led to inconsistencies in the implementation of the NMR process across the NNSA. The NMR process has recently been reviewed by a working group consisting of members from each Management and Operating (M&O) site and Field/Production Office within the WQA community. The working group developed improvements to the NMR process to allow for consistent implementation of NAP 401.1 process steps, which are described in this bulletin. Key improvements are as follows:  Revised NMR Form: Developed as an aid for Field Offices to consistently gather the appropriate information throughout the NMR process as well as allow for easy entry into a fillable form.  Process Map: Developed an NMR Process Map as an aid for Field Offices and M&Os to consistently work through the NMR process steps.  Incoming Material Request (IMR)/Shipped Material Request (SMR) combined into NMR: The Shipping Field Office (S-FO) associated with the Production Agency responsible for the affected product will determine whether a nonconformance exists and will generate and track all NMRs regardless of which site identifies the issue. Thus, the use of IMRs and SMRs as means to track who identified the nonconforming product is no longer necessary. o Since the IMR and SMR are no longer tracked separately, the new numbering scheme for NMRs comprises the following elements in sequence:  The Shipping Production Agency (S-PA) (see NAP 401.1, Appendix 3.1-G) for which the S-FO is issuing the report  The fiscal year (4-digit) in which the nonconformance was discovered  The receiving Production Agency (R-PA) (see NAP 401.1, Appendix 3.1-G) for which the Receiving Field Office (R-FO) is receiving the report  The next NMR number in the issuing S-FO’s sequence  e.g., “LA-2021-SS-01” means this is the first nonconforming item identified that has shipped from Los Alamos to Sandia in FY 2021  Allowance for swift notification to key stakeholders: The draft NMR, with identification of production impacts and priority level, is sent to the R-FO with a copy (for awareness) to the S-PA, R-PA, Weapon Quality Division (WQD), as well as the Federal Program Office (FPO).  Clarification of NMR Grade Levels to better align with NAP 401.1 terminology as follows: o Grade 1 – Failure to meet product definition requirement(s) and cannot be utilized for its intended use. A Corrective Action Response is required to prevent the recurrence of this nonconformance. o Grade 2 – Failure to meet product definition requirement(s), but material can be used for its intended use. Corrective Action Response is required, to prevent the recurrence of this nonconformance, at the discretion of the responsible Field Office. o Grade 3 – Product definition requirements are met, but there are issues with other quality requirements that can be corrected without impact to product (for example shipping documents are incorrect). Corrective Action Response is required, to prevent the recurrence of this

nonconformance, at the discretion of the responsible Field Office. Note: Grade 3 NMRs are documented for record purposes only and product segregation is not necessary. This WQA Bulletin is provided by the DOE/NNSA Weapon Quality Division (NA-121.3) in response to process requirements associated with the NMR process that are not singularly interpretable. This bulletin does not change any NAP 401.1, Weapon Quality Policy, requirements; rather, it is intended to assist NNSA organizations in the proper interpretation and application of the NMR process for consistent implementation across the Nuclear Security Enterprise (NSE).1 The revised NMR Form and NMR Process Map referenced in this bulletin are accessible via the NNSA Weapon Quality Collaboration Site, hosted on MAX.gov, at the following URL: NNSA Weapon Quality Assurance Community - Dept of Energy - MAX Federal Community. For access to MAX.gov, please send an email to wqa@nnsa.doe.gov. 1 The guidance provided within this bulletin does not rise to the level of an “Advance Change Directive,” per NNSA SD 251.1B, since it does not “convey direction needed to meet statutory, regulatory, or programmatic requirements that are exigent in nature.” Nor does the guidance fit within the “Administrative Changes” of that directive. Thus, after careful consideration, the “WQA Bulletin” was chosen as the means to convey the guidance for allowing process improvements as well as allowing broad Nuclear Security Enterprise access to the revised NMR Form and Process Map. NONCONFORMING MATERIAL REPORT FORM Page 1 Revision Date: 09/30/2021 Note: Enter “N/A” into unused fields. To: CC: From: Date: ☐ Draft ☐ Open ☐ Closed Check one of the following: ☐ Receiving PA-identified issue ☐ Shipping PA-identified issue Fill in as much of the following information as possible (fields will expand as necessary) to identify the impacted product. Keep information protection in mind when deciding to include the weapon system on this report. If associating the part number with the weapon system will make this report classified at level higher than OUO, then do not include the weapon system in this report: Weapon System: Part Number: Nomenclature: Manufacturer Code: Date Code: Serial Number: Lot Number: Quantity: Other: Specifications or criteria used to determine the discrepant condition: Description of the discrepant conditions: Pertinent circumstances of discovery: Production impact and priority level and description: wqa@nnsa.doe.gov; na-122workflow@nnsa.doe.gov; dl-na-125nmr@nnsa.doe.gov; NMR #: Revision # NONCONFORMING MATERIAL REPORT FORM Page 2 Revision Date: 09/30/2021 Material disposition: (If applicable list EA number and summary here): Discrepant category: Check all that apply: ☐ 1. Records Examination: Any accompanying quality records with missing or incorrect entries (e.g., incorrect record of assembly (ROA), wrong part number or serial/lot number, or incorrect testing data) ☐ 2. Part Marking: Manufacturing identification does not comply with specification requirements (e.g., wrong suffix on part/package) ☐ 3. Surface Condition and Foreign Material: Physical damage or contamination not allowed per specification requirements (e.g., dents/scratches in critical sealing surfaces, coatings outside of allowed boundaries, surface discoloration) ☐ 4. Assembly: Part does not assemble, has incorrect components installed, incorrect material or process used, missing components or mispackaged for shipment (e.g., missing washer, wrong suffix of component, missing packaging material, packaged upside down)

☐ 5. Functional: The part/assembly fails to mechanically operate as intended or incorrect mechanical test performed (e.g., rotating part does not rotate, leak test not performed) ☐ 6. Dimensional: Part does not meet dimensional drawing requirements (e.g., radius too small, stem height wrong) ☐ 7. Electrical: Failure to meet electrical tests (e.g., resistance test failed) ☐ 8. Other: Describe the nonconformance that does not fit the other categories: Check the highest grade that applies (Grade can be determined any time up to the point of the NMR being closed): ☐ Grade 1 – Failure to meet product definition requirement(s) and cannot be utilized for its intended use. A corrective action response is required to prevent the recurrence of this nonconformance. ☐ Grade 2 – Failure to meet product definition requirement(s), but material can be used for its intended use. Corrective action response is required, to prevent the recurrence of this nonconformance, at the discretion of the responsible Field Office. ☐ Grade 3 – Product definition requirements are met, but there are issues with other quality requirements that can be corrected without impact to product (for example, shipping documents are incorrect). Corrective action response is required, to prevent the recurrence of this nonconformance, at the discretion of the responsible Field Office. Note: The Grade 3 NMRs are documented for record purposes only and product segregation is not necessary. Remarks: Signature: (Click to enter Digital Signature; alternately, form may be printed and signed) * Note: Only the original signer of the pdf can remove his/her signature and re-sign the form. To: From: Manufacturer Code: Date Code: Serial Number: Lot Number: Other: Quantity: Material disposition: Priority Level: [null] Material Disposition: [null] 1 Records: Off 2 Part Marking: Off 3 Surface condition and foreign material: Off 4 Assembly: Off 5 Functional: Off 6 Dimensional: Off 7 Electrical: Off 8 Other: Off Other - Description: Grade: Off Submit: Remarks: Draft/Open/Closed: Off Nomenclature: Shipping/Recieving PA: Off Weapon System: Part Number: Production impact Priority Level and description: Pertinent circumstances of discovery: Description of the discrepant conditions: Specifications or criteria used to determine the discrepant condition: NMR Date_af_date: CC: NMR Number: Revision Number: Revise: NMR Future State Process Map Rev 0 Resolution PhaseDetermination Phase Accomplished IAW R013, C001, T047 and T048 R-PA identifies suspect product R-PA notifies R-FO S-FO notifies S PA & DA S-PA identifies suspect product S-FO notifies R-FO R-FO notifies R-PA R-FO and S-FO reach agreement on NMR within one business day of draft S-FO issues NMR Rev 0 (without Grade but including production impacts and priority level) to R-FO, and copies the R-PA, S-PA, WQD, & FPO within one business day EXIT NMR Process With input provided by S-PA the DA determines the disposition of the nonconforming product R-PA notifies the R- FO of production impacts and priority level S-FO reviews the released EA, and concurs by revising the NMR to include DA disposition and Grade within one business day R-PA takes action required by DA, per the released EA S-FO issues NMR revision as CLOSED to R-PA, S-PA, WQD, & FPO within one business day DA issues disposition instructions to S-PA with

a released EA Legend  Orange implies suspect product was identified by the R-PA  Green implies suspect product was identified by the S-PA  NO and YES are intended to imply the path that is followed based on the decision being made  Items with a bold black border indicate informal communications (e.g., phone calls, emails) that may not require formal documentation  *when nonconforming material requires DA generation and release of SXR  DA – Design Agency  FPO – Federal Program Office  R-FO – Receiving Field Office  R-PA – Receiving Production Agency  S-FO – Shipping Field Office  S-PA – Shipping Production Agency  WQD – Weapon Quality Division (i.e., NA- 121.3) NMR Future State Process Map: 04-20-21 Rev 0 Address problem and EXIT NMR Process R-FO notifies S-FO S-PA notifies S-FO & DA S-PA Draft SXN* S-PA Release SXN Does the product meet the product definition? (S-FO determines if the product is nonconforming, involving S-PA & DA w/in goal of 3 business days) S-FO documents Grade 3 for tracking purposes (optional) YES NO S-FO drafts NMR (without Grade but including production Impacts and priority level) within one business day of nonconforming determination R-PA controls nonconforming product per R-PA’s approved process and identify production impacts DA Drafts EA’s as needed NO S-FO monitors any associated corrective action until closure S-PA notify S-FO and R-PA S-FO notifies WQD & FPO with a draft NMR R-FO notifies S-FO of production impacts and priority level NMR Future State Process Map_rev 0_04202021.vsdx Page-1