NASA Procedures and Guidelines
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NPR 8705.6C Eff. Date: January 09, 2017 Cancellation Date:	Safety and Mission Assurance (SMA) Audits, Reviews, and Assessments
| TOC | Preface | Chapter1 | Chapter2 | Chapter3 | Chapter4 | AppendixA | AppendixB | AppendixC | AppendixD | ALL |

Chapter 2. SMA Audits, Reviews, and Assessments

2.1 Overview

2.1.1 In addition to the main objectives stated in 1.2.1, SMA audits, reviews, and assessments are conducted to achieve the following objectives:

a. Verify applicable NASA SMA requirements are appropriately documented and flowed down.

b. Verify documented processes and practices are in place, operating as intended, and achieve the intent of the NASA SMA requirements.

c. Provide NASA with an independent, objective, and constructive evaluation of the institution, facilities, operations, programs, or projects compliance with the applicable requirements.

d. Identify areas for continual improvement of NASA SMA requirements to better serve mission objectives or accommodate unique applications or conditions.

2.1.2 The objectives stated in 1.2.1 and 2.1.1 are accomplished by the following activities, which include but are not limited to:

a. Reviewing the NASA Center, program, or project organizations' SMA requirements and documented procedures to ensure that applicable NASA SMA requirements are appropriately flowed down and implemented.

b. Reviewing documentation and records of completed work and training.

c. Interviewing NASA Center, program, or project organizations' personnel responsible for implementing and executing processes and procedures required to meet NASA SMA requirements.

d. Assessing the NASA Center, program, or project organizations' procedures, processes, and practices to verify and validate they are in place and operating as intended.

e. Verifying the effective implementation of corrective actions, including those related to previous audit findings.

f. Collecting and examining objective evidence that demonstrates compliance with the NASA SMA requirements (see definition in Appendix A).

2.1.3 SMA audit and assessment processes coordinate with and leverage audits, reviews, and assessments conducted by the Center, program, project, other NASA or governmental organizations, or certified nongovernmental organizations to facilitate verification of compliance with SMA requirements.

2.2 Roles and Responsibilities

2.2.1 The NASA Associate Administrator and Associate Administrator for the Mission Support Directorate are responsible for ensuring that NASA Centers have adequate resources to perform regularly scheduled internal SMA audits, reviews, and assessments and support SMA audits, reviews, and assessments.

2.2.2 Mission Directorate Associate Administrators are responsible for ensuring that programs and projects have adequate resources to support regularly scheduled internal SMA audits, reviews, and assessments and support SMA audits, reviews, and assessments.

2.2.3 The Chief, Safety and Mission Assurance is responsible for the implementation of the SMA audit, review, and assessment processes in accordance with NPD 1210.2. The Chief, SMA delegated management of the process to the NASA Safety Center (NSC), which established the Audits and Assessments Office (AAO) for this purpose. However, the Chief, SMA may direct the NSC AAO to perform out-of-cycle audits, reviews, or assessments if deemed necessary based on problems and deficiencies related to safety and mission success.

2.2.4 The NSC/AAO is responsible to the Chief, SMA for managing the SMA audit, review, and assessment processes in accordance with NPD 1210.2.

2.2.5 Center Directors are responsible for supporting SMA audits, reviews, and assessments by providing the logistic and resource support required for successful execution of and response to the SMA audits, reviews, and assessments (e.g., planning and schedule coordination and workspace and information technology support), and for preparing and implementing a response.

2.2.6 Center SMA Directors are responsible for supporting and participating in SMA audits, reviews, and assessments by providing subject matter experts and team members, ensuring all necessary materials needed to support the events are provided, and ensuring CAPs are addressed and status is provided, as required.

2.2.7 Program and Project Managers are responsible for supporting SMA audits, reviews, and assessments by providing the program and project logistic and resource support required for successful execution of and response to the SMA audits, reviews, and assessments (e.g., planning and schedule coordination and workspace and information technology support), and for preparing and implementing a response.

2.3 SMA Audit, Review, and Assessment Requirements

2.3.1 The Office of Safety and Mission Assurance (OSMA) provides an annual letter to the NASA Centers, programs, or projects identifying an audit, review, and assessment schedule and Centers to be audited during the next two years, and requesting that the NASA Center, program, or project identify an audit, review, and assessment point of contact to coordinate scope and facilitate assistance from the NASA Center, program, or project during the SMA audit, review, and assessment.

2.3.2 The NSC/AAO shall:

a. Coordinate SMA audits, reviews, and assessments and leverage audits, reviews, and assessments conducted by the Center, program, project, other NASA or governmental organizations, or certified nongovernmental organizations to facilitate verification of compliance with SMA requirements.

b. During the audit, verify each noncompliance is traceable to a clearly identified requirement and that each auditor documents the objective evidence of the NASA Center's noncompliance with the requirements appropriate to the audit objective(s).

c. Provide the SMA audit, review, and assessment report to the appropriate Center Director, Center SMA Director, Program Manager, NASA Headquarters Mission Directorate Associate Administrator, and affected institutional organizations and OSMA personnel with responsibilities for the areas reviewed.

d. Provide technical feedback on the initial corrective action plans (CAPs) provided by the NASA Centers, focusing on preventing recurrence of the finding.

e. Maintain a repository of all SMA audit, review, and assessment information in an Agency approved online repository accessible by all NASA Centers.

2.3.3 Center Directors shall:

a. Identify and provide NASA Center subject matter experts to the SMA audit, review, and assessment team, as requested, during the SMA audit, review, and assessment activities.

b. Identify a SMA audit, review, and assessment point of contact for the NASA Center to facilitate assistance during the SMA audits, reviews, and assessments.

2.3.4 Center SMA Director shall:

a. Provide to the SMA audit, review, and assessment team lead all necessary review materials including, but not limited to: Center documents; organizational charts; contracts; results of other relevant audits, reviews, or assessments that may have previously verified compliance with requirements; and Center internal SMA audits and assessments to facilitate the planning and execution of the SMA audit, review, and assessment.

b. Develop and provide a CAP addressing resolution of all Center SMA audit noncompliances to the NSC via SAARIS.

c. Provide CAP status annually to the NSC until all Center SMA audit noncompliances have been closed.

d. Identify and provide NASA Center subject matter experts to serve as SMA audit, review, and assessment team members for SMA audits, reviews, and assessments of other NASA Centers, programs, and projects.

2.3.5 Program and Project managers shall:

a. Provide results to the NSC of program and project assessments of compliance to Agency SMA requirements since the last SMA audit, review, and assessment, when requested in preparation for SMA audits, reviews, and assessments.

b. Identify a SMA audit, review, and assessment point of contact for the program and project to facilitate assistance during the program and project SMA audit, review, and assessment.

c. Provide to the SMA audit, review, and assessment team all necessary review materials including, but not limited to: program and project documents; organizational charts; contracts; results of other relevant audits, reviews, or assessments that may have previously verified compliance with SMA requirements; and program and project internal SMA audits and assessments to facilitate the planning and execution of the program and project SMA audits, reviews, and assessments.

d. Provide a CAP to the NSC, through the Center SMA Director, addressing resolution of all program and project SMA audit noncompliances.

e. Provide CAP status to the NSC annually, through the Center SMA Director, until all program and project noncompliances have been closed.

2.4 Requirements Evaluation and Documentation Assessment & Analysis (REDAA)

2.4.1 The NSC/AAO conducts REDAA reviews for the flow down of NASA SMA requirements into NASA Centers' and Component Facilities' documentation. A REDAA is a document-only desk review conducted in support of an IFOSA or QAAR and typically begins several months prior to the scheduled start date of the IFOSA or QAAR. A REDAA flow down analysis may also be requested by the NSC/AAO or other NASA SMA organization to support assessments, follow-up audits, document reviews or other OSMA activities.

2.4.2 The NSC/AAO shall provide an announcement letter to the NASA Center SMA Director identifying the SMA review objective and scope.

2.4.3 The REDAA review identifies all levels or types of Center documentation that provide Center specific roles and responsibilities, implementing procedures, and clarification to Agency requirements. See Appendix D for a list of documents included in REDAA requirements flow down reviews. Note that all documents are not applicable to all reviews or to all Centers or Component Facilities. Applicability of the documents is assessed with the Center and Component Facility at the beginning of the review.

2.4.4 The NSC/AAO conducts a top-level review of select NASA contracts to identify requirement documents included in contract requirements in support of IFOSA and QAAR.

2.4.5 For NASA-designated programs and projects, and as funding permits, the NSC/AAO conducts REDAA reviews for flow down of NASA SMA requirements into NASA program and project documentation.

2.5 Institutional, Facility, Operational Safety Audits (IFOSA)

2.5.1 The NSC/AAO conducts IFOSA to verify the implementation of applicable NASA SMA institutional, facility and operational requirements. See Appendix D for a list of documents included in IFOSA.

2.5.2 The NSC/AAO shall:

a. Provide an announcement letter and a team letter to the NASA Center identifying the SMA audit and assessment objective, scope and team.

b. Conduct IFOSA at NASA Centers and Component Facilities at least once every four years or more frequently per the direction of the Chief, SMA.

c. Conduct interim assessments at NASA Centers and Component Facilities as driven by Agency and Center indicators approximately midway between the IFOSA schedule, to ensure a review is conducted every other year as necessary.

2.6 Quality Audit, Assessment, and Review (QAAR)

2.6.1 The NSC/AAO conducts QAARs to verify compliance with NASA SMA quality and software assurance requirements contained in and related to, the SMA requirements documents (NPDs, NPRs, and NASA standards). See Appendix D for a list of documents included in QAARs.

2.6.2 The NSC/AAO shall:

a. Provide an announcement letter and a team letter to the NASA Center identifying the SMA audit and assessment objective, scope and team.

b. Conduct QAARs at NASA Centers and Component Facilities at least once every four years or more frequently per the direction of the Chief, SMA.

c. Conduct interim assessments at NASA Centers and Component Facilities as driven by Agency and Center indicators approximately midway between the QAAR schedule, to ensure a review is conducted every other year as necessary.

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