NASA Procedures and Guidelines
This Document is Obsolete and Is No Longer Used. Check the NODIS Library to access the current version: http://nodis3.gsfc.nasa.gov

NPR 8705.6C
Effective Date: January 09, 2017
Cancellation Date:
Responsible Office: GA

Table of Contents

Preface

P.1 Purpose
P.2 Applicablity
P.3 Authority
P.4 Applicable Documents and Forms
P.5 Measurement/Verification
P.6 Cancellation

Chapter 1. Program Overview

1.1 Introduction
1.2 Objectives

Chapter 2. SMA Audits, Reviews, and Assessments

2.1 Overview
2.2 Roles and Responsibilities
2.3 SMA Audit, Review, and Assessment Requirements
2.4 Requirements Evaluation and Documentation Assessment & Analysis (REDAA)
2.5 Institutional, Facility, Operational Safety Audits (IFOSA)
2.6 Quality Audit, Assessment, and Review (QAAR)

Chapter 3. Safety and Mission Success Review (SMSR)

3.1 Overview
3.2 Roles and Responsibilities

Appendix A. Definitions
Appendix B. Acronyms
Appendix C. Reference Documents
Appendix D. Table of minimum SMA Requirements Documents and Associated Audit, Review, and Assessment Requirements (this list is not all inclusive of the audit scope)

Preface

P.1 Purpose

This National Aeronautics and Space Administration (NASA) Procedural Requirements (NPR) document establishes requirements for conducting audits, reviews, and assessments to verify compliance with applicable NASA Safety and Mission Assurance (SMA) requirements as required by NASA Policy Directive (NPD) 1000.3 and NPD 8700.1 in accordance with NPD 1210.2.

P.2 Applicablity

a. This NPR is applicable to NASA Headquarters and NASA Centers, including Component Facilities and Technical and Service Support Centers. This language applies to the Jet Propulsion Laboratory (JPL), a Federally-Funded Research and Development Center, other contractors, recipients of grants, cooperative agreements, or other agreements only to the extent specified or referenced in the applicable contracts, grants, or agreements.

b. This NPR applies to any NASA program, project, institution, operation, or facility that is responsible for the application or implementation of SMA requirements.

c. In this NPR, "shall" denotes a mandatory requirement, "may" or "can" denotes a discretionary privilege or permission, "should" denotes a good practice, and "will" denotes an expected outcome.

d. Unless otherwise indicated, definitions of all words and terms used in this NPR are per NASA-STD-8709.22, Safety and Mission Assurance Acronyms, Abbreviations, and Definitions.

P.3 Authority

a. NPD 1000.3, The NASA Organization

b. NPD 1210.2, NASA Surveys, Audits, and Reviews Policy

c. NPD 8700.1, NASA Policy for Safety and Mission Success

P.4 Applicable Documents and Forms

P.5 Measurement/Verification

Verification of compliance with this NPR and effectiveness of this NPR at the Agency level is performed in conjunction with the NASA Internal Controls Program as defined in NPD 1200.1. Verification of compliance with this NPR and effectiveness of this NPR at NASA Centers, programs, and projects is based on the results of the SMA audits, reviews, and assessments performed. This includes adequate, timely, and effective response to action items, findings, and corrective action plans (CAPs), as well as tracking repeat findings and overall trends identified during SMA audits, reviews, and assessments.

P.6 Cancellation

NPR 8705.6B, Safety and Mission Assurance Audits, Reviews, and Assessments, dated May 24, 2011.

Chapter 1. Program Overview

1.1 Introduction

1.1.1 Per NPD 8700.1 it is NASA policy to verify and validate life-cycle implementation of the SMA processes and any related safety and mission success requirements through ongoing surveillance of program, project, and contractor processes. Also, it is NASA policy to certify the safety and operational readiness of hazardous or mission critical hardware and software (including flight systems, support equipment, facilities, operations, and ground-based systems) through a process of formal review of the compiled validation and verification information.

1.1.2 NPD 1000.3 assigns responsibility to the Chief, Safety and Mission Assurance to ensure the incorporation and fulfillment of SMA requirements established for NASA programs and institutions through the structured application of SMA Technical Authority (SMA TA) and to verify the effectiveness of SMA requirements, activities, and processes.

1.1.3 This NPR outlines procedures for audits, reviews, and assessments to verify compliance with NASA SMA requirements, as required by NPD 8700.1 and NPD 1000.3.

1.1.4 Per NPD 1210.2 it is NASA policy to establish minimum criteria for the conduct of Headquarters-initiated audits, reviews, and assessments of NASA activities in such a way that the audits, reviews, and assessments are value-added and effective to both the subject organization and Agency in support of the Agency's mission.

1.2 Objectives

1.2.1 This NPR provides requirements for:

a. Verifying each NASA Center's, Component Facility's, and JPL's (including associated contractor(s), recipients of grants, cooperative agreements, or other agreements) compliance with applicable NASA SMA requirements.

b. Verifying program and project, implementation of, and compliance with, applicable NASA SMA requirements.

c. Supporting the Agency's determination of readiness to test, operate, fly, launch, or recover mission and research equipment.

d. Supporting independent or special assessments upon request of the NSC, OSMA or Centers. Scope and requirements to be identified by the requester.

1.2.2 The principal chapters of this NPR provide requirements for the Agency's SMA audit, review, and assessment processes as described below.

1.2.2.1 Requirements Evaluation and Documentation Assessment & Analysis (REDAA) process. This process provides independent assessment of the flow down of SMA requirements to the NASA Centers and to designated programs and projects and provides a top-level review of designated NASA contracts in support of Institutional, Facility, Operational Safety Audit (IFOSA) and Quality Audit, Assessment, and Review (QAAR).

1.2.2.2 IFOSA process. This process provides independent verification that institutions, facilities, and operations at each NASA Center are in compliance with the applicable NASA SMA institutional, facility, and operational requirements.

1.2.2.3 QAAR process. This process provides independent verification that each NASA Center, program, and project is in compliance with the applicable NASA SMA quality assurance and software assurance requirements.

1.2.2.4 Safety and Mission Success Review (SMSR) process. The SMSR process prepares Agency safety and engineering management to participate in program or project management pre-operations or major milestone review forums. The SMSR provides the knowledge, visibility, and understanding necessary for senior Agency safety and engineering management to concur or nonconcur with program decisions to proceed.

Chapter 2. SMA Audits, Reviews, and Assessments

2.1 Overview

2.1.1 In addition to the main objectives stated in 1.2.1, SMA audits, reviews, and assessments are conducted to achieve the following objectives:

a. Verify applicable NASA SMA requirements are appropriately documented and flowed down.

b. Verify documented processes and practices are in place, operating as intended, and achieve the intent of the NASA SMA requirements.

c. Provide NASA with an independent, objective, and constructive evaluation of the institution, facilities, operations, programs, or projects compliance with the applicable requirements.

d. Identify areas for continual improvement of NASA SMA requirements to better serve mission objectives or accommodate unique applications or conditions.

2.1.2 The objectives stated in 1.2.1 and 2.1.1 are accomplished by the following activities, which include but are not limited to:

a. Reviewing the NASA Center, program, or project organizations' SMA requirements and documented procedures to ensure that applicable NASA SMA requirements are appropriately flowed down and implemented.

b. Reviewing documentation and records of completed work and training.

c. Interviewing NASA Center, program, or project organizations' personnel responsible for implementing and executing processes and procedures required to meet NASA SMA requirements.

d. Assessing the NASA Center, program, or project organizations' procedures, processes, and practices to verify and validate they are in place and operating as intended.

e. Verifying the effective implementation of corrective actions, including those related to previous audit findings.

f. Collecting and examining objective evidence that demonstrates compliance with the NASA SMA requirements (see definition in Appendix A).

2.1.3 SMA audit and assessment processes coordinate with and leverage audits, reviews, and assessments conducted by the Center, program, project, other NASA or governmental organizations, or certified nongovernmental organizations to facilitate verification of compliance with SMA requirements.

2.2 Roles and Responsibilities

2.2.1 The NASA Associate Administrator and Associate Administrator for the Mission Support Directorate are responsible for ensuring that NASA Centers have adequate resources to perform regularly scheduled internal SMA audits, reviews, and assessments and support SMA audits, reviews, and assessments.

2.2.2 Mission Directorate Associate Administrators are responsible for ensuring that programs and projects have adequate resources to support regularly scheduled internal SMA audits, reviews, and assessments and support SMA audits, reviews, and assessments.

2.2.3 The Chief, Safety and Mission Assurance is responsible for the implementation of the SMA audit, review, and assessment processes in accordance with NPD 1210.2. The Chief, SMA delegated management of the process to the NASA Safety Center (NSC), which established the Audits and Assessments Office (AAO) for this purpose. However, the Chief, SMA may direct the NSC AAO to perform out-of-cycle audits, reviews, or assessments if deemed necessary based on problems and deficiencies related to safety and mission success.

2.2.4 The NSC/AAO is responsible to the Chief, SMA for managing the SMA audit, review, and assessment processes in accordance with NPD 1210.2.

2.2.5 Center Directors are responsible for supporting SMA audits, reviews, and assessments by providing the logistic and resource support required for successful execution of and response to the SMA audits, reviews, and assessments (e.g., planning and schedule coordination and workspace and information technology support), and for preparing and implementing a response.

2.2.6 Center SMA Directors are responsible for supporting and participating in SMA audits, reviews, and assessments by providing subject matter experts and team members, ensuring all necessary materials needed to support the events are provided, and ensuring CAPs are addressed and status is provided, as required.

2.2.7 Program and Project Managers are responsible for supporting SMA audits, reviews, and assessments by providing the program and project logistic and resource support required for successful execution of and response to the SMA audits, reviews, and assessments (e.g., planning and schedule coordination and workspace and information technology support), and for preparing and implementing a response.

2.3 SMA Audit, Review, and Assessment Requirements

2.3.1 The Office of Safety and Mission Assurance (OSMA) provides an annual letter to the NASA Centers, programs, or projects identifying an audit, review, and assessment schedule and Centers to be audited during the next two years, and requesting that the NASA Center, program, or project identify an audit, review, and assessment point of contact to coordinate scope and facilitate assistance from the NASA Center, program, or project during the SMA audit, review, and assessment.

2.3.2 The NSC/AAO shall:

a. Coordinate SMA audits, reviews, and assessments and leverage audits, reviews, and assessments conducted by the Center, program, project, other NASA or governmental organizations, or certified nongovernmental organizations to facilitate verification of compliance with SMA requirements.

b. During the audit, verify each noncompliance is traceable to a clearly identified requirement and that each auditor documents the objective evidence of the NASA Center's noncompliance with the requirements appropriate to the audit objective(s).

c. Provide the SMA audit, review, and assessment report to the appropriate Center Director, Center SMA Director, Program Manager, NASA Headquarters Mission Directorate Associate Administrator, and affected institutional organizations and OSMA personnel with responsibilities for the areas reviewed.

d. Provide technical feedback on the initial corrective action plans (CAPs) provided by the NASA Centers, focusing on preventing recurrence of the finding.

e. Maintain a repository of all SMA audit, review, and assessment information in an Agency approved online repository accessible by all NASA Centers.

2.3.3 Center Directors shall:

a. Identify and provide NASA Center subject matter experts to the SMA audit, review, and assessment team, as requested, during the SMA audit, review, and assessment activities.

b. Identify a SMA audit, review, and assessment point of contact for the NASA Center to facilitate assistance during the SMA audits, reviews, and assessments.

2.3.4 Center SMA Director shall:

a. Provide to the SMA audit, review, and assessment team lead all necessary review materials including, but not limited to: Center documents; organizational charts; contracts; results of other relevant audits, reviews, or assessments that may have previously verified compliance with requirements; and Center internal SMA audits and assessments to facilitate the planning and execution of the SMA audit, review, and assessment.

b. Develop and provide a CAP addressing resolution of all Center SMA audit noncompliances to the NSC via SAARIS.

c. Provide CAP status annually to the NSC until all Center SMA audit noncompliances have been closed.

d. Identify and provide NASA Center subject matter experts to serve as SMA audit, review, and assessment team members for SMA audits, reviews, and assessments of other NASA Centers, programs, and projects.

2.3.5 Program and Project managers shall:

a. Provide results to the NSC of program and project assessments of compliance to Agency SMA requirements since the last SMA audit, review, and assessment, when requested in preparation for SMA audits, reviews, and assessments.

b. Identify a SMA audit, review, and assessment point of contact for the program and project to facilitate assistance during the program and project SMA audit, review, and assessment.

c. Provide to the SMA audit, review, and assessment team all necessary review materials including, but not limited to: program and project documents; organizational charts; contracts; results of other relevant audits, reviews, or assessments that may have previously verified compliance with SMA requirements; and program and project internal SMA audits and assessments to facilitate the planning and execution of the program and project SMA audits, reviews, and assessments.

d. Provide a CAP to the NSC, through the Center SMA Director, addressing resolution of all program and project SMA audit noncompliances.

e. Provide CAP status to the NSC annually, through the Center SMA Director, until all program and project noncompliances have been closed.

2.4 Requirements Evaluation and Documentation Assessment & Analysis (REDAA)

2.4.1 The NSC/AAO conducts REDAA reviews for the flow down of NASA SMA requirements into NASA Centers' and Component Facilities' documentation. A REDAA is a document-only desk review conducted in support of an IFOSA or QAAR and typically begins several months prior to the scheduled start date of the IFOSA or QAAR. A REDAA flow down analysis may also be requested by the NSC/AAO or other NASA SMA organization to support assessments, follow-up audits, document reviews or other OSMA activities.

2.4.2 The NSC/AAO shall provide an announcement letter to the NASA Center SMA Director identifying the SMA review objective and scope.

2.4.3 The REDAA review identifies all levels or types of Center documentation that provide Center specific roles and responsibilities, implementing procedures, and clarification to Agency requirements. See Appendix D for a list of documents included in REDAA requirements flow down reviews. Note that all documents are not applicable to all reviews or to all Centers or Component Facilities. Applicability of the documents is assessed with the Center and Component Facility at the beginning of the review.

2.4.4 The NSC/AAO conducts a top-level review of select NASA contracts to identify requirement documents included in contract requirements in support of IFOSA and QAAR.

2.4.5 For NASA-designated programs and projects, and as funding permits, the NSC/AAO conducts REDAA reviews for flow down of NASA SMA requirements into NASA program and project documentation.

2.5 Institutional, Facility, Operational Safety Audits (IFOSA)

2.5.1 The NSC/AAO conducts IFOSA to verify the implementation of applicable NASA SMA institutional, facility and operational requirements. See Appendix D for a list of documents included in IFOSA.

2.5.2 The NSC/AAO shall:

a. Provide an announcement letter and a team letter to the NASA Center identifying the SMA audit and assessment objective, scope and team.

b. Conduct IFOSA at NASA Centers and Component Facilities at least once every four years or more frequently per the direction of the Chief, SMA.

c. Conduct interim assessments at NASA Centers and Component Facilities as driven by Agency and Center indicators approximately midway between the IFOSA schedule, to ensure a review is conducted every other year as necessary.

2.6 Quality Audit, Assessment, and Review (QAAR)

2.6.1 The NSC/AAO conducts QAARs to verify compliance with NASA SMA quality and software assurance requirements contained in and related to, the SMA requirements documents (NPDs, NPRs, and NASA standards). See Appendix D for a list of documents included in QAARs.

2.6.2 The NSC/AAO shall:

a. Provide an announcement letter and a team letter to the NASA Center identifying the SMA audit and assessment objective, scope and team.

b. Conduct QAARs at NASA Centers and Component Facilities at least once every four years or more frequently per the direction of the Chief, SMA.

c. Conduct interim assessments at NASA Centers and Component Facilities as driven by Agency and Center indicators approximately midway between the QAAR schedule, to ensure a review is conducted every other year as necessary.

Chapter 3. Safety and Mission Success Review (SMSR)

3.1 Overview

3.1.1 The SMSR is a review held to prepare Agency safety and engineering management to participate in program final readiness reviews preceding flights or launches, including experimental and test launch vehicles, sample return capsules, or other reviews as determined by the Chief, Safety and Mission Assurance. The SMSR provides the knowledge, visibility, and understanding necessary for senior safety and engineering management to either concur or nonconcur in program decisions to proceed with a launch or significant flight activity.

3.1.2 SMSRs can be NASA Headquarters-led or NASA Center-led.

3.1.3 NASA Headquarters-led SMSRs are conducted for any activity requiring Mission Directorate-level or higher level decision to proceed.

3.1.4 NASA Center-led SMSRs are conducted for any activity requiring lower than a Mission Directorate-level decision to proceed. NASA Center-led SMSRs are led by Center safety management as the delegated SMA TA.

3.1.5 The Chief, Safety and Mission Assurance or the Chief Engineer may request a SMSR (either NASA Headquarters-led or Center-led) for other safety and mission success-critical program or project activities to assure all risks are mitigated to an acceptable level, including:

a. Test readiness reviews, design certification reviews and extravehicular activities.

b. Reviews of tailoring or nonconformity of program and project SMA or engineering requirements which may affect mission success or facility operations.

3.1.6 The SMSR is designed to:

a. Review and affirm the results of assurance processes and requirements which have been implemented over the life of the program.

b. Verify compliance with the applicable requirements.

c. Provide adequate knowledge and visibility for senior safety and engineering managers to understand the risks associated with the safety and mission success of program launches, operational stages, or selected critical tests, utilizing input from cognizant program and Center-based safety and reliability review panels (e.g., ground safety, payload safety, range safety, facility safety).

d. Examine mission preparation status, open work issues, and concerns.

e. Assess overall systems readiness.

f. Provide an SMA and engineering position on whether to concur or nonconcur in proceeding with the event/operation being reviewed.

3.1.7 Data presented at the NASA Headquarters-led SMSR is developed by the program, cognizant NASA Headquarters and NASA Center SMA and engineering organization(s), the NSC, other independent assessment groups (e.g., NASA Engineering and Safety Center (NESC), NASA Independent Verification and Validation (IV&V) Program, Center-based independent assessment organizations), applicable safety review panels, and any individuals or organizations representing minority or dissenting opinions.

3.1.8 SMSR records are prepared and retained onsite; then destroyed five years after mission completion by the office that conducted the SMSR (Headquarters or delegated Center SMA TA).

3.2 Roles and Responsibilities

3.2.1 The Chief, Safety and Mission Assurance:

a. Co-chairs each NASA Headquarters-led SMSR.

b. Conducts a poll of selected SMSR participants at the conclusion of the NASA Headquarters-led SMSR for a recommendation to proceed.

c. Recommends proceeding or not proceeding to the next level of review (e.g., Flight Readiness Review (FRR), Mission Readiness Briefing (MRB), or other, depending on which Mission Directorate is involved).

d. Communicates any concerns arising from the review with the Associate Administrator for the Mission Directorate involved.

e. Designates an OSMA SMSR Manager.

3.2.2 The Chief Engineer:

a. Co-chairs each NASA Headquarters-led SMSR.

b. Recommends proceeding or not proceeding to the next level of review (e.g., FRR, MRB, or other, depending on which Mission Directorate is involved).

c. Communicates any concerns arising from the review with the Associate Administrator for the Mission Directorate involved.

3.2.3 Center Directors shall provide the logistic and resource support required for successful execution of NASA Headquarters-led and NASA Center-led SMSR activities.

3.2.4 Center SMA Directors and Center Engineering Directors shall:

a. Participate in the NASA Headquarters-led SMSR process for each program and project applicable to their Center.

b. Direct the implementation of a Center-led SMSR process for reviews chaired below the Mission Directorate level in which the Center SMA Organization is asked to concur/nonconcur.

c. Coordinate with program and project management and Center procurement organizations to ensure contracts provide for contractor support of NASA Headquarters-led and Center-led SMSR activities.

d. Complete SMSR actions within the assigned timeframe.

3.2.5 The delegated SMA TA shall:

a. Chair each Center-led SMSR.

b. Conduct a poll of selected SMSR participants at the conclusion of the Center-led SMSR for a recommendation to proceed.

c. Ensure the basic elements of a Center-led SMSR address the NASA Headquarters-led SMSR elements and, to the extent possible, parallel NASA Headquarters-led SMSR residual risk reporting formats.

d. Complete SMSR actions within the assigned timeframe.

3.2.6 Program and Project managers shall:

a. Provide the support needed to prepare and present material to NASA Headquarters-led and Center-led SMSRs.

Note: SMSR presentations are tailored for each specific mission and content is negotiated in advance of the SMSR. For example, program and project managers may be asked to include a mission assurance process map and matrix in their SMSR presentation which outlines the Program, Project, and Technical Authority roles and relationships as required and documented in the Program and Project SMA plan.

b. Ensure program and project material presented at a SMSR is accurate and meets the specified needs of the SMSR.

c. Coordinate with Center SMA and Center procurement organizations to ensure contracts provide for contractor support of NASA Headquarters-led and Center-led SMSR activities.

Note: This includes contractor support that may be needed to prepare SMSR presentations or present information at the SMSR.

d. Complete SMSR actions within the assigned timeframe.

3.2.7 SMA managers and engineering managers reporting (matrix or direct) to the program and project manager shall:

a. Help to identify all independent organizations which have assessed portions of the program or project.

b. Provide material input for inclusion in SMSRs.

c. Compile the program and project SMSR material, including the program's assessment of residual safety and mission success risk related to the upcoming milestone, identifying risk consequence and likelihood with supporting rationale and uncertainty associated with estimated likelihood.

d. Coordinate the presentation of the Center and program and project SMSR material with the Chief, Safety and Mission Assurance.

e. Coordinate within the program and project and support NASA Headquarters-led and Center-led SMSR preparation meetings, as required.

f. Participate in SMSR polling as described in paragraphs 3.2.1.b and 3.2.5.b.

g. Complete SMSR action items within the assigned timeframe.

3.2.8 Other NASA organizations performing independent assessments (e.g., NESC, NASA IV&V Program, Center-based independent assessment organizations) shall:

a. Identify program and project assessments conducted by their respective organizations, summarize, and provide them to the OSMA SMSR Manager to ensure the Chief, Safety and Mission Assurance has all relevant data at the SMSR and to avoid duplication of effort on the part of other independent assessment organizations.

b. Identify any issues or SMA residual risks related to their respective assessments.

c. Identify any areas where the findings of the independent assessments differ from the program and project assessment.

d. Participate in SMSR polling described in paragraph 3.2.1.b and 3.2.5.b.

e. Complete SMSR action items within the assigned timeframe.

3.2.9 The OSMA SMSR Manager:

a. Coordinates with the OSMA Mission Support Division, the Safety and Assurance Requirements Division, and Center-based SMA managers to identify which pending program and project events warrant a SMSR.

b. Coordinates with the Office of the Chief Engineer, OSMA, Center-based SMA managers, and independent assessment organizations (e.g., NESC, NASA IV&V Program, Center-based independent assessment organizations) to identify participants for a NASA Headquarters-led SMSR.

c. Coordinates with the Office of the Chief Engineer, OSMA, Center-based SMA managers, and independent assessment organizations (e.g., NESC, NASA IV&V Program, Center-based independent assessment organizations) to establish an appropriate integrated schedule for NASA Headquarters-led and Center-led SMSRs and agenda for upcoming NASA Headquarters-led SMSRs.

d. Coordinates with the program and project SMA and engineering managers to establish the team members for the SMSR polling group in coordination with the Chief, Safety and Mission Assurance and the Chief Engineer.

e. Maintains and updates, based on operational experience, detailed SMSR process documentation and work instructions.

CHAPTER 4. Safety Culture Assessments

4.1 Overview

4.1.1 Safety culture is the part of safety and health management systems concerned with the way safety is perceived, valued, and prioritized in organizations.

4.1.2 NASA developed the Agency's Five Factor Safety Culture Model to standardize the understanding, expectations, and measurement of NASA's safety culture. Standardization helps establish a common language to discuss safety culture issues and concerns. More details on this program can be found in the NASA-HDBK-8709.24, Orientation to NASA Safety Culture (SATERN Course HQ-SMA-ONSC), and Safety Culture for Supervisors (SATERN Course HQ-SMA-SCS). Routine feedback from the workforce is a fundamental tenet of developing and maintaining a healthy safety culture. Feedback should be obtained, analyzed, and shared on a regular basis to monitor and improve how the Agency prioritizes, values, and perceives safety.

4.2 Roles and Responsibilities

4.2.1 Center Directors shall assess the safety culture using the Agency's approved NASA Safety Culture Survey (SCS) at a frequency determined by the Safety Culture Working Group in coordination with the OSMA established SCS schedule

4.2.2 Center SMA Directors shall inform the Center Director and OSMA on the SCS results within 90 days of survey closeout. Survey closeout is when the Center stops accepting survey input.

4.2.3 Center Directors shall disseminate SCS results to Center stakeholders.

4.2.4 Center SMA Directors shall analyze and incorporate SCS results into review and planning of Center safety and health management systems.

4.2.5 OSMA shall inform the NASA Administrator of Agency-level SCS results 120 days after the closeout of the last survey in the survey cycle.

4.2.6 OSMA shall provide Agency-level SCS results to the Centers.

Appendix A. Definitions

Assessment. An activity that uses a set of concepts and principles, not a standard, to evaluate the accuracy, efficiency and/or effectiveness of an entity.

Audit. A formal evaluation of compliance with SMA policies, procedures, processes, requirements, specifications, baselines, standards, instructions, codes, and contractual and licensing requirements.

Audit, Review, and Assessment Point of Contact. A person from the organization being audited, reviewed, or assessed who ensures that the audited organization is prepared for the audit, review, and assessment; coordinates the audit schedule with the audit, review, and assessment team; ensures that the appropriate personnel from the audited organization are available during the audit and can support the audit schedule; ensures that the audit, review, and assessment team has resources onsite to enable the completion of the audit (such as working space and information technology support).

Audit, Review, and Assessment Report. A document providing a record of an audit, review, or assessment results.

Audit, Review, and Assessment Team. A team comprising subject matter experts from NASA Headquarters, NASA Centers, and, if necessary, non-NASA organizations selected to conduct the SMA audits, reviews, and assessments.

Center SMA Director. As used in this directive, this term includes all Center management personnel designated by the Center Director to implement SMA audits, reviews, and assessments requirements.

Finding. A conclusion based on facts and objective evidence or lack thereof established during SMA audits, reviews, and assessments.

Flow down. The documented demonstration that the Center is operating in accordance with the Agency requirements through references to either each requirement of the Agency documents, or a general "shall" statement denoting the Agency document within the Center document. Flow down is accomplished by a Center document "shall" statement that invokes the Agency requirement, a generic shall statement identifying the Agency document within the Center document, references to each Agency requirement in the Center document, or a more stringent, Center-specific requirement identified in the Center document.

Institutional, Facility, Operational Safety Audit. An independent audit of NASA Center compliance with institutional, facility, and operational SMA requirements.

Mission Assurance Process Map. The mission assurance process map is a high-level, graphical representation of governing SMA policy and requirements, processes, and key participant roles, responsibilities, and interactions. It also includes the reporting structure that constitutes a program's/project's SMA functional flow.

Mission Assurance Process Matrix. The mission assurance process matrix is constructed to identify program life cycle assurance agents and specific assurance activities, processes, responsibilities, accountability, depth of penetration, and independence. The matrix includes key assurance personnel in Engineering, Manufacturing, Program Management, Operations, and SMA.

Objective Evidence. Data verifying or supporting the existence of a finding or compliance to requirements. Objective evidence may be obtained through observation, measurement, test, or other means and is not influenced by prejudice, emotion, or bias. Examples of objective evidence include, but are not limited to, procedures, records, work instructions, databases, reports, organizational charts, interviews, hardware, facilities test reports, configuration control documentation (i.e., drawings and specifications), mishap reports, corrective actions, and lessons learned.

Quality Audit, Assessment, and Review. An independent verification that each NASA Center, program, and project is in compliance with the applicable NASA SMA quality assurance and software assurance requirements.

Requirements Evaluation and Documentation Assessment & Analysis. 1) An independent document-only desk review of the flow down of SMA requirements to the NASA Center documents and to designated programs and projects documents; and 2) a top-level review of designated NASA contracts in support of IFOSA and QAAR.

Review. An activity that proposes to figure out how well the thing being reviewed is capable of achieving established objectives. Reviews ask the following question: is the subject (or object) of the review a suitable, adequate, effective, and efficient way of achieving established objectives.

Appendix B. Acronyms

Appendix C. Reference Documents

C.1 NPD 1200.1, NASA Internal Control

C.2 NPD 1440.6, NASA Records Management

C.3 NPR 1400.1, NASA Directives and Charters Procedural Requirements

C.4 NASA-STD-8709.22, Safety and Mission Assurance Acronyms, Abbreviations, and Definitions

C.5 NASA Safety and Mission Assurance Requirements Documents (NPDs, NPRs, and NASA Standards) posted on the SMA Requirements Tree

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