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NASA
Procedural
Requirements

NPR 8705.4B
Effective Date: November 01, 2024
Expiration Date: November 01, 2029

COMPLIANCE IS MANDATORY FOR NASA EMPLOYEES

Subject: Risk Classification for NASA Payloads

Responsible Office: Office of Safety and Mission Assurance

Chapter 3. Risk Classification Process and SMA Implementation

3.1 NASA Mission and Instrument Risk Classification

3.1.1 The MDAA establishes a set of Mission Directorate requirements reflecting the key objectives of the project for NASA missions and instruments (see NPR 7120.5).

3.1.2 The Mission Directorate designates the mission or instrument risk tolerance class as early in the formulation process as possible but no later than the KDP B Decision Memo.

Note: The risk of a particular instrument may be greater than risk of the mission, see note 2.1.1a.

3.1.3 The risk tolerance class(es), further characterized in Appendix C, are:

3.1.3.1 Class A: The lowest risk tolerance that is driven by technical objectives. This would normally represent a very high priority mission with very high complexity, as described in Appendix C.

3.1.3.2 Class B: Low risk tolerance that is driven more by technical objectives than programmatic constraints. This would normally represent a high priority mission with high complexity, as described in Appendix C.

3.1.3.3 Class C: Moderate risk tolerance that is driven more by technical objectives than programmatic constraints. This would normally represent a medium priority mission with medium complexity, as described in Appendix C.

3.1.3.4 Class D: High risk tolerance that is driven more by programmatic constraints than technical objectives. This would normally represent a lower priority mission with a medium to low complexity, as described in Appendix C.

3.1.4 The MDAA shall designate and document mission and instrument risk tolerance class(es) using the guidance provided in Appendix C, including the justification for the selection, no later than KDP B Decision Memorandum/Selected Mission Statement, considering the guidance in Appendix C.

3.1.4.1 Such missions or instruments still document any SMA objectives in Appendix D imposed on the project by the sponsoring organization (e.g., Request for Proposal, Announcement of Opportunity (AO)) and their approach to satisfy those objectives in an Assurance Implementation Matrix (AIM) and Project Safety and Mission Assurance Plan as defined in paragraph 3.2.2.

3.1.4.2 Such missions or instruments are still subject to the SMA requirements and directives delineated in paragraph 3.3.1.

3.1.5 The MDAA may choose to not designate a mission or instrument risk tolerance class or to designate a mission or instrument at a higher risk tolerance than Class D if the Mission Directorate determines that mission or instrument has a higher risk tolerance than the risk tolerance class(es) described in paragraph 3.1.3.

3.1.5.1 Such missions or instruments still may document any SMA objectives in Appendix D imposed on the project by the sponsoring organization (e.g., Request for Proposal, AO) and their approach to satisfy those objectives in an AIM and Project Safety and Mission Assurance Plan as defined in paragraph 3.2.2.

3.1.5.2 Such missions or instruments are still subject to the SMA requirements and directives delineated in paragraph 3.3.1.

3.1.6 The MDAA, in consultation with the Chief, SMA, and the Chief Engineer, may change the risk classification for NASA missions and instruments in the Formulation Phase (see NPR 7120.5 for project phase definitions).

3.2 Project-Specific Implementation of the Mission or Instrument Risk Classification, SMA Objectives and Requirements

3.2.1 Appendix D identifies reference SMA objectives to be satisfied as a function of the designated risk tolerance class. Projects satisfy the objectives in Appendix D either using standards that have already been accepted by NASA and are identified in Appendix D, or using alternate approaches or standards proposed by the project and determined to be appropriate for the mission, risk tolerance class, and specified application by the Technical Authorities. This approach provides projects with the flexibility to propose tailored and innovative means of meeting the SMA objectives.

3.2.2 As early as possible (no later than System Requirements Review (SRR)/System Design Review (SDR)/Mission Definition Review (MDR)), the NASA Project Manager shall formulate and obtain MDAA approval and Chief, SMA, and Chief Engineer concurrence of SMA objectives consistent with the designated risk tolerance class(es), or anticipated risk tolerance class (es) if formal designation is pending, and reference SMA objectives in Appendix D. The objectives should be documented via an AIM (see Appendix E) appended to the (Preliminary) Project Safety and Mission Assurance Plan (see NPR 7120.5). In lieu of the AIM, the MDAA may invoke a standardized Mission Assurance Requirements document. If the Project Manager wishes not to follow the MDAA-invoked standardized Mission Assurance Requirements document, they must submit an AIM.

Note: SPD-39, The Science Mission Directorate (SMD) Standard Mission Assurance Requirements Payload Classification: D, is an example of a standardized Mission Assurance Requirements document.

3.2.3 No later than SRR/SDR (or other timeframe as tailored per NPR 7120.5, Appendix C), the NASA Project Manager, with concurrence from the Project-Level SMA TA, shall establish, document, and begin implementing the project’s (baseline) SMA Plan:

3.2.3.1 Detailing project-specific assurance plans, standards, methods, processes, and practices consistent with the approved AIM or standardized Mission Assurance Requirements document, as applicable;

3.2.3.2 Detailing project-specific assurance plans, standards, methods, processes, and practices per host Center requirements and consistent with the SMA directives and requirements that do not vary by risk tolerance class(es) delineated in paragraph 3.3.1;

3.2.3.3 Addressing life cycle safety-relevant functions and activities, including but not limited to: procurement, management, design and engineering, design verification and testing, software design, software verification and testing, manufacturing, manufacturing verification and testing, operations, and preflight;

3.2.3.4 Containing data and information to support each section of the SMA Plan, for each major milestone review, including the SMSR and;

3.2.3.5 Containing trending and metrics utilized to display progress and to predict growth towards SMA goals and requirements.

3.2.4 The NASA Project Manager shall obtain Project-level SMA TA and relevant Center Institutional Safety Discipline Leads’ concurrence on changes to the SMA Plan. Note: Any requirements called out through documents referenced in paragraph 3.3.1 are also subject to the “Request for Relief” process delineated in paragraph 1.3.

3.2.5 At LCRs, KDPs, and the SMSR, the NASA Project Manager shall report actual and planned departures from the AIM and baseline SMA Plan documents to the Mission Directorate and to OSMA.

3.3 General SMA Requirements

3.3.1 Refer to the following documents for NASA missions and instruments regardless of risk tolerance class:

a. NPR 8621.1, NASA Procedural Requirements for Mishap and Close Call Reporting, Investigating, and Recordkeeping.

b. NPR 8705.6, Safety and Mission Assurance (SMA) Audits, Reviews, and Assessments, Chapter 3. Safety and Mission Success Review (SMSR).

c. NPR 8715.3, Requesting Relief from Agency Mission Assurance Requirements.

d. NPR 8715.5, Range Flight Safety Program.

e. NPR 8715.6, Orbital Debris Mitigation.

f. NPR 8715.7, Payload Safety Program, and NASA-STD-8719.24, Payload Safety Requirements and Annex.

g. NPR 8715.24, Planetary Protection Provisions for Robotic Extraterrestrial Missions.

h. NPR 8715.26, Nuclear Flight Safety.

i. NASA-STD-8739.8, Software Assurance and Software Safety Standard.

j. NPR 8735.1, Exchange of Problem Data Using NASA Advisories and the Government-Industry Data Exchange Program (GIDEP).

3.3.2 Centers and Mission Directorates may develop and update derived policies, standards, and guidelines to expand upon the requirements referenced in the documents and specified sections in paragraph 3.3.1 of this directive for the unique needs of their respective projects. Projects may further be subject to Center-level safety and health requirements.

3.3.3 The Chief, SMA, will consult on the tailoring of requirements in those areas with the Associate Administrator, Administrator, or other authorities as appropriate.