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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2.1 Notification and Reporting Requirements

NASA, OSHA, and the NTSB for aircraft all have reporting requirements covering mishaps and close calls. The level and immediacy of reporting depend upon a multitude of factors, which may overlap. (See Appendix A for the definitions of a mishap and types of investigations.) NASA mishaps, close calls, or occurrences that must be reported include those involving the following:

a. Injury or death to members of the public or damage to public or private property, if the mishap was caused by NASA operations.

b. Injury or death to civil service employees while on duty.

c. Damage to or loss of government property or equipment, or mission failures.

d. Close calls.

e. Any other occurrence on NASA property that would be of interest to NASA (public traffic accident on NASA roads, visitor medical emergency, etc.).

2.2 NASA Mishap and Close Call Immediate Notification Requirements

2.2.1 All NASA mishaps and close calls must be reported immediately to a supervisor, safety or health official, or program manager who will notify the Center safety office. Other occurrences (see paragraph 2.1.e) will be reported in accordance with procedures established by the Center.

2.2.2 For those Type A or Type B mishaps, high-visibility mission failures, or other high-visibility mishaps or high-visibility close calls, the Center safety office (or program safety manager) shall provide an immediate (within 1 hour) notification to the Safety and Risk Management Division by telephone, facsimile, or electronic mail in the format of NF-1627A during normal duty hours, or the NASA Headquarters Emergency Center, 1-866-230-NASA (1-866-230-6272), during nonduty hours. The Center office must receive an acknowledgement of receipt from Headquarters to fulfill this requirement. (Initial phone notification requires a written, electronic followup within 1 hour.) (See Appendix F.) By close of business the next workday, the Center safety office will submit a followup electronic NF 1627A initial report using the IRIS.

2.2.3 The Center safety office (or program safety manager) should notify other Center offices that have a need to know about the NASA mishap, close call, or occurrence (e.g., Center Director, Center public affairs office, Center aviation safety officer, Center health office, Center security office) within 1 hour if possible. Public affairs procedures on additional notification and the further release of mishap information to the press and outside of NASA are in Appendix C and Appendix D of this NPG.

2.3 Other Immediate Reporting Requirements

2.3.1 Reporting of NASA Mishaps to the Office of Inspector General and the Office of the General Counsel.

The Office of Inspector General (OIG) and the Center's Office of the Chief Counsel or NASA Office of the General Counsel should be notified if it is suspected that a mishap resulted from criminal activity, so that the OIG and appropriate legal offices can coordinate their activities with the mishap review board official.

2.3.2 Immediate Reporting of NASA Mishaps and other Occurrences to OSHA.

2.3.2.1 If the occurrence involves the death of any employee from a work-related incident or the in-patient hospitalization of three or more employees as a result of a work-related incident, the safety office of the organization affected shall orally report the fatality/multiple hospitalization by telephone or in person to OSHA so that OSHA can determine their need for a separate investigation. The OSHA reporting requirement applies to any fatality or hospitalization of three or more employees which occurs within (30) days of a mishap. This oral report must be made within 8 hours of the death or hospitalization of three or more employees to the area office of OSHA, U.S. Department of Labor, that is nearest to the site of the mishap or to OSHA at their toll-free central telephone number (1-800-321-6742). Notification (confirmation) shall also be made to the NASA Safety and Risk Management Division that the oral report has been provided to OSHA.

2.3.2.2 The report to OSHA will include the following:

a. Establishment name.

b. Location of incident.

c. Time of incident.

d. Number of fatalities.

e. Number of hospitalized employees.

f. Contact person, phone number.

g. Brief description of the incident.

2.3.3 Immediate Reporting of NASA Aircraft Occurrences and Incidents to NTSB.

2.3.3.1 The NTSB has special mishap notification requirements. Therefore, mishaps, incidents, close calls, and occurrences (as listed below) involving NASA aircraft will be promptly reported to Center safety office/program manager, and the Safety and Risk Management Division by telephone, facsimile, or electronic mail during normal duty hours, or after duty hours call 1-866-230-NASA (1-866-230-6272). By close of business of the following day, a NF 1627A report will be submitted using the NASA IRIS for the following:

a. Flight control system malfunction or failure.

b. Inability of any required flight crew member to perform normal flight duties as a result of injury or illness.

c. Failure of structural components of a turbine engine excluding compressor and turbine blades and vanes.

d. In-flight fire.

e. Aircraft collision in flight.

f. Damage to property, other than the agency aircraft, estimated to exceed $25,000 for repair (including materials and labor) or fair market value in the event of total loss; whichever is less.

g. For large multiengine aircraft (more than 12,500 pounds maximum certificated takeoff weight), there shall be immediate notification for the following:

(1) In-flight failure of electrical systems which requires the sustained use of an emergency bus powered by a backup source such as a battery, auxiliary power unit, or air-driven generator to retain flight control or essential instruments.

(2) In-flight failure of hydraulic systems that results in sustained reliance on the sole remaining hydraulic or mechanical system for movement of flight control surfaces.

(3) Sustained loss of the power or thrust produced by two or more engines.

(4) An evacuation of an aircraft in which an emergency egress system is utilized.

h. An aircraft is overdue and is believed to have been involved in an accident or incident.

2.3.3.2 Notification shall contain the following information, if available.

a. Type, nationality, and registration marks of the aircraft.

b. Name of owner and operator of the aircraft.

c. Name of the pilot-in-command.

d. Date and time of the mishap, malfunction, or failure.

e. Last point of departure and point of intended landing of the aircraft.

f. Position of the aircraft with reference to some easily defined geographical point.

g. Number of persons aboard, and number killed, or seriously injured.

h. Nature of the mishap, accident, or occurrence, the weather, and the extent of damage to the aircraft, so far as is known.

i. A description of any explosives, radioactive materials, or other dangerous articles carried.

2.4 Other Recording Requirements

The Center safety office shall ensure all NASA mishaps and close calls (except as noted below) are recorded and submitted electronically to the IRIS on NF-1627, "NASA Full Safety Incident Report," in accordance with the IRIS system instructions (see Appendix K) and as augmented by the policies of the Director, Office of Health Affairs, at NASA Headquarters. Followup information or updated status reports will be submitted as information becomes available. As required by 29 CFR 1960.2 and the definitions therein, those mishaps involving injury/illness to NASA civil service employees are also recordable on the OSHA 200 Log. Additional personal injury or illness information may be recorded on NF 1627B, "NASA Injury/Illness Incident Report," by medical or supervisory personnel and submitted to IRIS in accordance with instructions in Appendix K.

2.5 Exemptions to Recording Requirements for Certain Occurrences

2.5.1 OSHA Recordable Accidents That Are Not Recorded as NASA Mishaps.

There are certain occurrences involving personnel injury (or death) that, due to their circumstances, must be recorded on the OSHA log and reported as OSHA lost-time cases, may be compensable under Office of Workers Compensation Program guidelines, but are not considered NASA mishaps and are not counted in internal NASA statistical reporting. Note that this does not rule out the need to conduct investigative activities and undertake corrective actions. These occurrences are excluded because their inclusion would make it more difficult to statistically analyze NASA mishap data to identify patterns and trends so that appropriate workplace policies and corrective actions can be established. The occurrences are listed below.

a. Cases where an employee does not lose any workdays but remains on the job in "light" duty are not considered as NASA lost-time cases, although they must be recorded as OSHA lost workday cases. Part of a workday lost for medical treatment or therapy also does not count as lost time.

b. Injuries associated with nonoccupational diseases where the disease itself, not the injury, is the proximate cause of the lost time. Example: A hemophiliac suffers a minor laceration that results in time away from work.

c. Injuries/illnesses sustained before entry into NASA service or employment unless specifically aggravated by current tenure of service, if found during a preemployment physical or declared by the employee as a disability.

d. Injuries resulting from nonwork related, preexisting musculoskeletal disorders or by minimum stress and strain (example: simple, natural, nonviolent body positions or actions). These injuries/illnesses are unrelated to mishap-producing agents or repetitive stress environments in daily work.

e. Injuries experienced during unsupervised or unsponsored recreational activities during nonduty hours (e.g., during volleyball game at lunch period, or while skiing or playing tennis after hours while on official travel).

f. Injuries or deaths occurring during official duty while using public transportation or a public conveyance (airplane, bus, train).

2.5.2 The following property damage is excluded from NASA mishap recording requirements for reasons similar to those stated in paragraph 2.5.1:

a. NASA property damage as a result of vandalism, riots, civil disorders, or felonious acts such as arson or sabotage is not a mishap. This will be reported and investigated in accordance with procedures under NPG 1620.1, "NASA Security Procedures and Guidelines."

b. Malfunction or failure of component parts that are normally subject to fair wear and tear and have a fixed useful life that is less than the complete system or unit of equipment is not recorded as a NASA mishap, provided that:

(1) The failure is not due to lack of scheduled preventative maintenance.

(2) The malfunction or failure is the only damage.

(3) The sole action is to replace or repair that component part. This exception does not apply to a malfunction or failure of a component part that results in damage to another component.

2.5.3 A test failure involving damage to equipment or property as a result of testing is not recorded as a NASA mishap provided that:

a. The testing is part of an authorized development/qualification/certification program that supports a larger objective.

b. Damage is limited to the test article and immediate facility support equipment and instrumentation.

c. Risk of damage cost from the test failure was accepted by program management in a formal, documented, risk analysis and acceptance process.
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