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NASA Ball NASA
Procedural
Requirements 		NPR 8621.1D
Effective Date: July 06, 2020
Expiration Date: July 06, 2025
COMPLIANCE IS MANDATORY FOR NASA EMPLOYEES
Printable Format (PDF)

Subject: NASA Procedural Requirements for Mishap and Close Call Reporting, Investigating, and Recordkeeping (updated w/Change 4)

Responsible Office: Office of Safety and Mission Assurance


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Chapter 6. Post-Investigation Activities

6.1 Corrective Action Plan Development

6.1.1 The Center or Program/Project 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 Center 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 Center or Program/Project Manager shall include the following in the CAP:

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 Center or Program/Project 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 Center or Program/Project Manager 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 Center or Program/Project cognizant Safety Office shall:

a. Assist the responsible organization 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 Center or Program/Project Manager 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 Center or Program/Project AO shall:

a. Assess and 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 Corrective Action Plan Closure Statement to the supporting cognizant Safety Office and responsible organization advising the CAP has been closed.

6.5.3 The Center or Program/Project 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 that the mishap investigation report, endorsements, approved CAP and Corrective Action Plan 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 Center or Program/Project 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 Center or Program/Project 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 Center or Program/Project 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 Center or Program/Project IA shall not release original data and records unless copies are made as needed and retained with mishap investigation records.

6.8.2 The Center or Program/Project cognizant Safety Office shall:

a. Keep, retained, physical mishap evidence for two years from the date of the mishap.

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

c. File the final CAP and approved lessons learned 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.

6.8.3 Manage and suitably dispose of the CAP, lessons learned, witness statements, and other records documenting the investigation in accordance with NPR 1441.1, NASA Records Management Program Requirements and NRRS 1441.1, NASA Records Retention Schedules.

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

6.8.4 The Chief, SMA 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) of 2002, 44 U.S.C. ch. 35, subch. III 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.



| TOC | ChangeHistory | Preface | Chapter1 | Chapter2 | Chapter3 | Chapter4 | Chapter5 | Chapter6 | Chapter7 | Chapter8 | Chapter9 | AppendixA | AppendixB | AppendixC | AppendixD | AppendixE | AppendixF | AppendixG | AppendixH | AppendixI | AppendixJ | ALL |
 
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