NASA Procedures and Guidelines
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NPR 8621.1 Eff. Date: June 02, 2000 Cancellation Date: February 11, 2004	NASA Procedures and Guidelines for Mishap Reporting, Investigating, and Recordkeeping
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Depending on the systems involved in a mishap and the nature of the mishap, the volume of documentary evidence may range from none to truckloads. The purpose of this section is to key the investigator to the types of documentary evidence to look for and its value.

1.1 Sources of Documentary Data

1.1.1 Facility description.

1.1.2 Mission, budget, schedule, constraints, and changes.

1.1.3 Hazard analysis process documentation, including prior appraisal of:

1.1.3.1 Information search.

1.1.3.2 Hazard identification.

1.1.3.3 Hazard control.

1.1.3.4 Risk assessment; acceptance decision level.

1.1.3.5 Independent review.

1.1.4 Procedures and/or job safety analysis. When available, obtain established criteria or procedures and their review.

1.1.5 Design, manufacture, installation, test, operations, and maintenance records; construction progress photos, which may show features later covered by construction, and construction completion reports.

1.1.6 Machine manufacturer's manuals.

1.1.7 Maps and drawings.

1.1.8 Monitoring systems records.

1.1.9 Training given to the supervisor.

1.1.10 Supervisor's observations on training and safety.

1.1.11 Failure histories.

1.1.12 Error rates; first aid and medical cases of similar nature.

1.1.13 Employee selection, training, transfer, and personal history.

1.1.14 Suggestions and their disposition.

1.1.15 Employee meetings.

1.1.16 Appraisals and followup action (internal and NASA). Include SMA and engineering appraisals as they are relevant. Review inspections and audits.

1.1.17 Press releases and clippings.

1.1.18 Personnel files and medical files. These should be obtained only for professional evaluation, and then returned to safeguarded files.

1.1.19 System maintenance records.

1.1.20 Mishap records from past events

1.1.21 Quality control documentation.

1.1.22 Control room logs.

1.1.23 Security camera tapes.

1.1.24 Air traffic control tapes and radar summaries.

1.1.25 Police reports.

1.1.26 Telemetry tapes.

1.1.27 Monitoring system tapes.

1.1.28 Correspondence files.

1.1.29 Flight plans.

1.1.30 Medical histories.

1.1.31 Checkout logs.

1.1.32 Training records.

1.1.33 Test and checkout record charts.

1.1.34 Launch records.

1.1.35 Weather information.

1.1.36 All forms of computerized information/data.

1.2 Impounding Records

1.2.1 Efforts to impound records will, in most cases, have been initiated prior to the investigation board's arrival. The organization responsible for impounding records should supply the board with all impounded records and brief the members on the status of impoundment as soon as practical after preservation of evidence and witness location efforts have started. Data to be impounded may include checkout logs, training records, test and checkout record charts, launch records, weather information, telemetry tapes, and other documents essential for investigative evaluation. Provisions should also be made for readout of telemetry and computer tapes. Assistance in analysis or readout of oral conversations may be obtained from the Federal Bureau of Investigation or the NTSB. Both are located in Washington, DC.

1.2.2 Records impoundment requires space to hold the records and controls to prevent unauthorized uses or modification of data. Preplanning should include distribution of information and guidelines for program and facility directors so they will understand the purpose of impoundment and their responsibilities to assure compliance at all levels of their particular activities. During a minor personal injury mishap, the impoundment area may reside in the investigator's file drawer or notebook; for a major space system loss, the impoundment area may be the size of a public library.

1.3 Recorded Information

Obtaining and analyzing recorded information (telemetry and voice) is an extension of records impoundment. In most instances, it will be necessary to have specialists participate in this effort. Some records may be damaged; others may require readout and interpretation by the program activity involved. Records may be sent to special laboratories and organizations such as the NTSB if in-flight recorder analyses are needed. Preplanning should include preliminary checks to determine what special capabilities are available in-house, locally, and out of the area. Special capabilities should be noted and summary information concerning capabilities should be made available.

1.4 Impoundment Area Requirements

1.4.1 The impoundment area must be secure and have shelves or file cabinets adequate to store all expected data, tapes, and disks. The amount of area required will depend on the mishap.

1.4.2 A filing system is important. It should only be as complex as the volume of data it requires. The key is that all data can be systematically stored, retrieved, issued, tracked, recited, and re-stored efficiently, effectively, and accurately. Figures B-4-1 and B-4-2 give simple examples of data impound area management forms that can be used to keep track of data.

1.4.3 One final note. When the investigation is over, all data must be returned to the originating organization for filing unless it is required for litigation purposes. If it is required for litigation, data must be turned over to the legal staff.

Data Impoundment Log

Impound Area: Control Center
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Data Item	File Location	Source	Responsible Individual	Mail Code and Phone Number
Control center log of John Smith	Cabinet #2 Drawer #1	John Smith	Dan Jones, CC Supervisor	LCC 555-5555
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ááááááááááááááááááááááááááááááááááááááá FIGURE B-4-1: DATA IMPOUNDMENT LOG
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Impounded Data Checkout Record

Impound Area: Building 7, Room 214
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Data Item	File Location	Issued to/Phone Number	Date and Time of Issue	Date and Time of Return
Control center log of John Smith	Cabinet #2 Drawer # 1	Dave Crockett/ 555-1212	07-11-94 0900	07-18-94 1300
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ááááááááááááááááááááááááááááááááááááááá FIGURE B-4-2: IMPOUNDED DATA CHECKOUT RECORD

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