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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5.1 CAP Development

5.1.1 The responsible organizations shall create and submit a mishap CAP to the Appointing Official. The CAP must address all of the findings of the mishap. (See Appendix H for CAP format.) The CAP will include the following:

a. A description of the corrective actions along with a designation of the organization(s) responsible for implementing the corrective actions and a completion date for each corrective action.

b. Which NASA or contractor organization (to the lowest level) is responsible for ensuring the corrective action is completed.

c. A matrix or other means of matching corrective actions to mishap root cause(s) or other findings.

d. A review of any process changes required based on corrective actions.

e. The method to be used to track, provide interim status, and document completion of the corrective actions.

5.1.2 The CAP should be developed and submitted to the Appointing Official within 30 working days from when tasked. The Appointing Official may extend this deadline upon written request from the responsible organization. The mishap investigation board or mishap investigator may be provided a copy of the CAP for review and comment.

5.1.3 Upon receipt of the CAP, the Appointing Official will provide a copy to the Approving official, the applicable safety organization, and other selected offices as is deemed appropriate for review. Based on the results of that review, the Appointing Official will either accept or reject the plan. If requested, the mishap investigation board or mishap investigator will support the Appointing Official in assessing the adequacy of the CAP and provide comments. If the plan is rejected, it is returned, with comments, to the responsible organization for revision and resubmission. The Appointing Official can ask for additional CAP in areas not explicitly covered by the investigation report as appropriate. The Appointing Official will determine the timeframe for resubmission of the CAP. If the plan is accepted, the Appointing Official will do the following:

a. Direct the responsible organization to implement the plan.

b. Provide the plan to the responsible SMA organization or safety office for distribution to interested parties and to formulate the corrective action assurance (audit) plan.

5.2 Corrective Action Implementation

5.2.1 The responsible organization will implement the approved CAP as directed by the Appointing Official. The responsible organization will track the corrective action performance and completion and inform the Appointing Official of the status of the actions at intervals determined by the Appointing Official.

5.2.2 It is possible that the original CAP will contain actions that are deemed later to be unnecessary or unwise. Should a need arise to change the CAP, the responsible organization shall submit the change to the Appointing Official for approval, similar to the process used for the original plan approval. The Appointing Official is responsible for assessing and approving any changes to the CAP. Approved changes should be sent to the responsible organization and the safety office.

5.3 Corrective Action Independent Assurance and Closeout

5.3.1 The applicable safety office is responsible for independently monitoring corrective action activities to determine if they were carried out according to the plan. The safety office will report compliance and noncompliance concerns to the Appointing Official at intervals designated by the Appointing Official.

5.3.2 The Appointing Official, based on evaluation of the responses from the responsible organization, and the assessment from the safety office, will close all corrective actions and assemble a final mishap summary report. (See Appendix H for format.) This report includes the mishap investigation report, the CAP, any changes to the plan, final status of corrective actions, and lessons learned. The final status of the corrective actions shall provide the Appointing Official's statement that all corrective actions are completed including any final deviations from the plan, e.g., completion date changes, performing organization changes, etc. It is not necessary to create a new report to fulfill this requirement. It is anticipated that only the final status will need to be developed for this deliverable. The mishap summary report is delivered to the responsible organization and the safety office. The responsible organization will distribute the report to other appropriate local organizations, the office of record, NASA Headquarters, other NASA Centers, and other Federal agencies. Once this occurs, the duties of the Appointing Official are concluded.
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