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This Document is Obsolete and Is No Longer Used.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 8621.1C Eff. Date: May 19, 2016 Cancellation Date: May 23, 2016	NASA Procedural Requirements for Mishap and Close Call Reporting, Investigating, and Recordkeeping
| TOC | Preface | Chapter1 | Chapter2 | Chapter3 | Chapter4 | Chapter5 | Chapter6 | AppendixA | AppendixB | AppendixC | AppendixD | AppendixE | AppendixF | AppendixG | AppendixH | AppendixI | AppendixJ | AppendixK | AppendixL | AppendixM | ALL |

Chapter 6. Post-Investigation Activities

6.1 Corrective Action Plan Development

6.1.1 The AO shall, after the mishap investigation report has been endorsed and at the earliest opportunity, direct the responsible organization or program/project to develop a CAP for those recommendations approved by the AO.

Note: At any time during the investigation, the IA may recommend to the AO that immediate corrective actions be taken to ensure safety during ongoing operations internal or external to NASA.

6.1.2 The responsible organization or program/project manager shall, within 15 workdays from being tasked, submit the CAP to the AO for approval and then implementation.

Note: The AO may extend the CAP deadline upon written request from the responsible organization or program/project.

6.2 Corrective Action Plan Contents

6.2.1 The CAP shall include the following:

a. Corrective actions description and the estimated completion dates for each corrective action.

b. The lowest-level NASA organization responsible for completing the corrective actions.

c. A matrix or other means of matching corrective actions to all findings and recommendations.

6.3 Corrective Action Plan Review and Approval

6.3.1 The AO may provide the CAP to cognizant Safety Office and other offices as deemed appropriate for review.

6.3.2 The AO shall:

a. Accept or reject the CAP.

b. Return a rejected CAP with comments to the responsible organization or program/project for revision and resubmission.

6.4 Corrective Action Plan Implementation

6.4.1 The responsible organization shall:

a. Implement the corrective actions.

b. Track the corrective action performance and completion in NMIS and provide the AO with a status at intervals determined by the AO.

6.4.2 The Cognizant Safety Office shall:

a. Assist the responsible organization, if needed, to enter updates into NMIS as described in the Center MPCP.

b. Enter into NMIS the actual direct cost of the mishap or the estimated direct cost, if the actual direct cost is not available.

6.5 Corrective Action Plan Monitoring and Close Out

6.5.1 The responsible organization shall:

a. Update the cognizant Safety Office on the status of corrective action activities at least every 30 workdays until the CAP is closed.

b. Submit changes to the CAP after it has been approved (i.e., actions considered unwise or not feasible) to the cognizant Safety Office or Program for review. After this review, the requested changes will be sent to the AO for approval.

Note: Center or program policy may provide supplementary instruction regarding completing, submitting, and monitoring CAPs.

6.5.2 The AO shall:

a. Assess and, if warranted, approve any changes to the CAP.

b. Send approved changes to the responsible organization and the cognizant Safety Office.

c. Once corrective actions for Type A and Type B mishaps and high-visibility mishaps and close calls are fulfilled, provide a CAP closure statement to the supporting cognizant Safety Office and responsible organization advising the CAP has been closed.

6.5.3 The Cognizant Safety Office shall:

a. Track corrective action activities to verify they are carried out according to plan and report non-compliance to the AO.

b. Verify corrective actions activities were implemented, completed, and closed.

c. Notify the AO that actions have been implemented, completed, and closed.

d. Verify the mishap investigation report, endorsements, approved CAP and CAP closure statement, and mishap activities completion statements are complete and correctly recorded in NMIS.

6.6 Lessons Learned Development, Disposition, Submittal, and Approval

Note: Section applies to Types A and B mishaps and high-visibility mishaps and close calls investigations. Center Mission Directorates or Programs may develop disposition instructions for lower level (i.e., Types C and D mishaps and close calls investigations). The AO will determine criteria for including mishap data in the Lessons Learned Information System (LLIS).

6.6.1 The AO shall ensure:

a. Resources are provided to submit the Mishap Summary to the LLIS for entry for Type A and Type B mishaps and high-visibility mishaps and close calls.

b. Lessons learned are developed and submitted as described in the MPCP for Type C and D mishaps and close calls.

6.6.2 The individual or team tasked to develop lessons learned shall:

a. Generate lessons learned comprising, at a minimum, the mishap investigation report's executive summary, findings, and recommendations authorized for public release.

b. Within ten workdays of being tasked, submit prepared lessons learned to the AO.

6.7 Investigation Activities Conclusion

6.7.1 The AO shall:

a. Submit the mishap investigation activities completion statement to the responsible organization, OSMA (for Type A and Type B mishaps and high-visibility mishaps and close calls), the cognizant Safety Office, and other appropriate organizations indicating the investigation was performed; the CAP was implemented, completed, and closed; and the lessons learned were entered into the NASA LLIS (as determined appropriate by Center or mission authorities).

b. The AO's mishap investigation obligations are fulfilled with the delivery of the mishap activities completion statement, and the mishap file is closed (i.e., all activities associated with the mishap have been completed).

6.8 Evidence Recording and Retention

6.8.1 The IA shall not release original data and records unless copies are made as needed and retained with mishap investigation records.

6.8.2 Physical mishap evidence retained by the cognizant Safety Office shall be kept for two years from the date of the mishap.

6.8.3 Before disposition of physical evidence, the cognizant Safety Office shall seek concurrence from the Office of the General Counsel to confirm there is no active litigation affecting dispositional decisions.

6.8.4 The final CAP and approved lessons learned shall be filed with the official approved mishap investigation report in a location specified in the Center MPCP.

Note: NASA medical reports and witness statements are excluded from a mishap investigation report, but should be retained, marked confidential and privileged, and filed with the official approved mishap investigation report.

6.8.5 The CAP, lessons learned, witness statements, and other records documenting the investigation, shall be managed and suitably disposed by the cognizant Safety Office in accordance with NPR 1441.1 and NASA Records Retention Schedules (NRRS) 1441.1.

Note: Such records, regardless of format, include, but are not limited to, mishap investigation reports and associated records; IRT and IA relevant notes and email messages; meeting agendas, minutes, and other documentation of the investigation process; and copies of data and records used to evaluate and analyze the mishap.

6.8.6 The Chief/OSMA or designee shall:

a. Archive HQ-approved NASA mishap investigation reports and related documents in accordance with NRRS 1441.1.

b. Handle and protect NASA information according to the requirements of NPR 1600.1, NASA Security Program Procedural Requirements; NPR 2190.1, NASA Export Control Program; and NPR 2810.1, Security of Information Technology.

Note: NASA policy protects NASA information commensurate with the national security classification level, sensitivity, value, and criticality as stated in NPR 1600.1, NPR 2190.1, and NPR 2810.1, The Federal Information Security Management Act (FISMA) and other Federal laws and directives (e.g., ITAR) require the NASA Administrator to administer information security controls in accordance with these and other Federal laws and directives, which are applicable for all who provide, use, or have access to NASA information.

DISTRIBUTION:
NODIS