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
| TOC | ChangeHistory | Preface | Chp1 | Chp2 | Chp3 | Chp4 | Chp5 | Chp6 | All-Appendices | AppdxA | AppdxB-All | AppdxB1 | AppdxB2 | AppdxB3 | AppdxB4 | AppdxC | AppdxD | AppdxE-All | AppdxE1 | AppdxE2 | AppdxF-All | AppdxF1 | AppdxF2 | AppdxF3 | AppdxG | AppdxH-All | AppdxH1 | AppdxH2 | AppdxH21 | AppdxH3 | AppdxH4 | AppdxH5 | AppdxH6 | AppdxH7 | AppdxI-All | AppdxI1 | AppdxI2 | AppdxI3-All | AppdxI31 | AppdxI32 | AppdxI33 | AppdxI34 | AppdxI35 | AppdxJ-All | AppdxJ1 | AppdxJ2 | AppdxJ3 | AppdxJ4 | AppdxJ5 | AppdxJ6 | AppdxJ7 | AppdxJ8 | AppdxJ9 | AppdxJ10 | AppdxJ11 | AppdxK | AppdxL | AppdxM | Cover | ALL |

4.1 General

The mishap investigation report will focus on the root cause(s) of the mishap, contributing root cause(s), and significant observations. The mishap investigation report will contain findings and recommendations, will describe the structured analysis technique used, and will document the what, when, where, and why of the mishap.

4.2 Mishap Report Acceptance and Approval

The mishap investigation report shall be submitted to the Appointing Official within 60 calendar days unless the Appointing Official has established another deadline. Any requests for extensions should be submitted in writing to the Appointing Official. The Appointing Official will determine the appropriate review process for the report. The review process could involve other federal agencies or international parties. The report will include Volumes I, II, and V, and draft Volumes III (Corrective Action Plan) and Volume IV (Lessons Learned topics). See Appendix H.)

4.2.1 The Appointing Official will review the report against the instructions of the appointment letter. The Appointing Official may not change or influence the mishap investigation report but may ask for clarification. The board chairperson or investigator is not required to make any changes to the report with which he or she does not agree. The Appointing Official, with the concurrence of the responsible local safety official (Associate Administrator for Safety and Mission Assurance for Type A board reports), may reject the report and then charter a new investigation. If the Appointing Official accepts the report as meeting the intent of the appointment letter, it is sent to the Approving Official (if a different individual) who coordinates the report with the appropriate level NASA legal official, NASA import/export control official, NASA public affairs official, and any other NASA program or policy official(s) as appropriate for compliance with NASA policies. After successful coordination and resolution of any policy concerns, the Approving Official approves the report as being consistent with NASA policy. After approval, the report is returned to the Appointing Official who tasks the responsible organization to develop a CAP, and finalize and submit it, and the lessons learned, in accordance with Chapters 5 and 6. If a draft CAP is included with the report, it may be used as a starting point or as guidelines for forming a CAP. The final CAP (Volume IV) and approved lessons learned (Volume V) will be completed and filed with the official approved report. NASA medical reports and witness statements are excluded from a mishap report, but should be retained in a confidential/privileged file.

4.2.2 Contractor investigation reports of NASA mishaps arising out of contractor operations as per paragraph 3.3.8.2 will be subject to a NASA review and approval process in accordance with this NPG.

4.3 Release of Information Concerning Mishaps, Casualties, Mishap Reports, and other Information

4.3.1 Appendix C details the procedures and guidelines for prompt release to the news media and the public of factual information concerning NASA mishaps resulting in serious injury to, or death of, person(s), or extensive damage to, or destruction of, property. In all cases, release of information must be coordinated and approved by the appropriate NASA Headquarters or NASA Center public affairs offices.

4.3.2 Appendix D details the procedures and guidelines for making timely release of information from NASA mishap investigation reports, as appropriate, consistent with the provisions of the Freedom of Information Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C. 552a). In all cases, release of information must be coordinated and approved by the appropriate NASA Headquarters or NASA Center public affairs offices.

4.3.3 All witness statements, eye witness accounts, or documented verbal accounts, given in the course of a NASA mishap investigation are considered as privileged and protected and therefore cannot be released to the public or news media. NASA will make every effort to keep testimony confidential and privileged to the greatest extent permitted by law. However, the ultimate decision as to whether testimony may be released may reside with a court or administrative body outside NASA.

4.3.4 NASA may also refuse to release other information in an investigation report depending on additional factors such as whether the information is classified or involves proprietary considerations.

4.4 Retention of Mishap Reports and Records

Mishap reports and associated records will be retained in the office of primary record until no longer needed, at which time they will be retired in accordance with NPG 1441.1, "NASA Records Retention Schedules." Testimony data will be retained in a confidential/privileged file in the office of primary record until no longer needed, and then retired in a similar manner.
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