NPR 8705.6.pdf

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NASA

Procedural Requirements

NPR 8705.6D

Effective Date: March 29, 2019

Expiration Date: March 29, 2024

COMPLIANCE IS MANDATORY FOR NASA EMPLOYEES

Safety and Mission Assurance (SMA) Audits, Reviews, and Assessments

Responsible Office: Office of Safety and Mission Assurance

Table of Contents Change History

Preface

Table of Contents P.1 Purpose

P.2 Applicability

P.3 Authority

P.4 Applicable Documents and Forms

P.5 Measurement/Verification

P.6 Cancellation

Chapter 1. Program Overview

1.1 Introduction

1.2 Objectives

Chapter 2. SMA Audits, Reviews, and Assessments

NPR 8705.6D -- TOC

This document does not bind the public, except as authorized by law or as incorporated into a contract. This document is uncontrolled when printed. Check the NASA Online Directives Information System (NODIS) Library to verify that this is the correct version before use: https://nodis3.gsfc.nasa.gov.

NPR 8705.6D -- TOC Page 1 of 26 https://nodis3.gsfc.nasa.gov/main_lib.html https://nodis3.gsfc.nasa.gov/lib_docs.cfm?range=8___ https://nodis3.gsfc.nasa.gov/adv_search.cfm https://nodis3.gsfc.nasa.gov/

2.1 Overview

2.2 Roles and Responsibilities

2.3 SMA Audit, Review, and Assessment Requirements

2.4 Pre-Audit Discovery

2.5 Institutional, Facility, Operational Safety Audits (IFOSA)

2.6 Quality Audit, Assessment, and Review (QAAR)

2.7 Interim Center Assessment (ICA)

Chapter 3. Safety and Mission Success Review (SMSR)

3.1 Overview

3.2 Roles and Responsibilities

3.3 SMSR Process

Chapter 4. Safety Culture Assessments

4.1 Overview

4.2 Roles and Responsibilities

Appendix A. Definitions Appendix B. Acronyms Appendix C. Reference Documents Appendix D. Table of Minimum SMA Requirements Documents and Associated Audit, Review, and Assessment Requirements (this list is not all inclusive of the audit scope)

NPR 8705.6D -- TOC

This document does not bind the public, except as authorized by law or as incorporated into a contract. This document is uncontrolled when printed. Check the NASA Online Directives Information System (NODIS) Library to verify that this is the correct version before use: https://nodis3.gsfc.nasa.gov.

NPR 8705.6D -- TOC Page 2 of 26

Chg

Date Description/Comments

1 04/27/20 Updated to delete REDAA and the SAARIS application, and refer to the STAR application. Added a statement for Safety Culture Assessments in 1.2.4, changed SMSR record retention from five to three years, updated organization names in 3.2.9a, and for compliance with NPR 1400.1.

2 03/11/21 Replaced Center-led SMSR to SMA in section 3.1.2.2, 3.2.2.c, 3.2.3.b, 3.2.3.e, and 3.2.4.b Included OCHMO as a co-chair of SMSRs in section 3.2.2. Included references to orbital debris mitigation, planetary protection, nuclear flight safety and mishap preparedness in section 3.1.4.

Replaced existing shalls to responsibility in section 3.2.1, 3.2.2, 3.2.3, and 3.2.4. Added SMSR process in section 3.3, which is used to tailor and describe the procedure for

SMSR.

NPR 8705.6D --

ChangeHistory

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NPR 8705.6D -- ChangeHistory Page 3 of 26

Preface P.1 Purpose This National Aeronautics and Space Administration (NASA) Procedural Requirements (NPR) document establishes requirements for conducting audits, reviews, and assessments to verify compliance with applicable NASA Safety and Mission Assurance (SMA) requirements as required by NPD 1000.3, The NASA Organization and NPD 8700.1, NASA Policy for Safety and Mission Success in accordance with NPD 1210.2, NASA Surveys, Audits, and Reviews Policy.

P.2 Applicability

a. This NPR is applicable to NASA Headquarters and NASA Centers, including Component Facilities and Technical and Service Support Centers. This language applies to the Jet Propulsion Laboratory (JPL), a Federally-Funded Research and Development Center, other contractors, recipients of grants, cooperative agreements, or other agreements only to the extent specified or referenced in the applicable contracts, grants, or agreements.

b. This NPR applies to any NASA program, project, institution, operation, or facility that is responsible for the application or implementation of SMA requirements.

c. In this NPR, all mandatory actions (i.e., requirements) are denoted by statements containing the term "shall." The terms "may" denotes a discretionary privilege or permission, "can" denotes a statements of possibility or capability, "should" denotes a good practice and is recommended, but not required, "will" denotes expected outcome, and "are/is" denotes descriptive material.

d. In this directive, all document citations are assumed to be the latest version unless otherwise noted.

P.3 Authority

a. NPD 1000.3, The NASA Organization

b. NPD 1210.2, NASA Surveys, Audits, and Reviews Policy

c. NPD 8700.1, NASA Policy for Safety and Mission Success

P.4 Applicable Documents and Forms None.

P.5 Measurement/Verification Verification of compliance with this NPR and effectiveness of this NPR at the Agency level is performed in conjunction with the NASA Internal Controls Program as defined in NPD 1200.1.

Verification of compliance with this NPR and effectiveness of this NPR at NASA Centers, NPR 8705.6D -- Preface This document does not bind the public, except as authorized by law or as incorporated into a contract. This document is uncontrolled when printed. Check the NASA Online Directives Information System (NODIS) Library to verify that this is the correct version before use: https://nodis3.gsfc.nasa.gov.

NPR 8705.6D -- Preface Page 4 of 26 programs, and projects is based on the results of the SMA audits, reviews, and assessments performed. This includes adequate, timely, and effective response to action items, findings, and corrective action plans (CAPs), as well as tracking repeat findings and overall trends identified during SMA audits, reviews, and assessments.

P.6 Cancellation

a. NPR 8705.6C, Safety and Mission Assurance Audits, Reviews, and Assessments, dated January 09, 2017.

b. NRW 8705-40, Request for Requirement Waiver for NPR 8705.6B, Safety and Mission Assurance (SMA) Audits, Reviews, and Assessments, dated April 5, 2011.

NPR 8705.6D -- Preface This document does not bind the public, except as authorized by law or as incorporated into a contract. This document is uncontrolled when printed. Check the NASA Online Directives Information System (NODIS) Library to verify that this is the correct version before use: https://nodis3.gsfc.nasa.gov.

NPR 8705.6D -- Preface Page 5 of 26

Chapter 1. Program Overview

1.1 Introduction

1.1.1 Per NPD 8700.1, it is NASA policy to verify and validate life-cycle implementation of the SMA processes and any related safety and mission success requirements through ongoing surveillance of program, project, and contractor processes. Also, it is NASA policy to certify the safety and operational readiness of hazardous or mission critical hardware and software (including flight systems, support equipment, facilities, operations, and ground-based systems) through a process of formal review of the compiled validation and verification information.

1.1.2 NPD 1000.3 assigns responsibility to the Chief, Safety and Mission Assurance to ensure the incorporation and fulfillment of SMA requirements established for NASA programs and institutions through the structured application of SMA Technical Authority (SMA TA) and to verify the effectiveness of SMA requirements, activities, and processes.

1.1.3 This NPR outlines procedures for audits, reviews, and assessments to verify compliance with NASA SMA requirements, as required by NPD 8700.1 and NPD 1000.3.

1.1.4 Per NPD 1210.2 it is NASA policy to establish minimum criteria for the conduct of Headquarters-initiated audits, reviews, and assessments of NASA activities in such a way that the audits, reviews, and assessments are value-added and effective to both the subject organization and Agency in support of the Agency's mission.

1.2 Objectives

1.2.1 This NPR provides requirements for:

a. Verifying each NASA Center's, Component Facility's, and JPL's (including associated contractor(s), recipients of grants, cooperative agreements, or other agreements) compliance with applicable NASA SMA requirements.

b. Verifying program and project, implementation of, and compliance with, applicable NASA SMA requirements.

c. Supporting the Agency's determination of readiness to test, operate, fly, launch, or recover mission and research equipment.

d. Supporting independent or special assessments upon request of the OSMA or Centers. Scope and requirements to be identified by the requester.

1.2.2 Chapter 2 provides requirements for the Agency's SMA audit, review, and assessment processes as described below.

1.2.2.1 Pre-Audit Discovery process. This process directly supports the Institutional, Facility, Operational Safety Audit (IFOSA) and Quality Audit, Assessment, and Review (QAAR) with a collaborative effort for gathering Center documents and records, identification of audit focus areas and provides a top-level review of designated NASA contracts in support of IFOSA and QAAR.

NPR 8705.6D -- Chapter1 This document does not bind the public, except as authorized by law or as incorporated into a contract. This document is uncontrolled when printed. Check the NASA Online Directives Information System (NODIS) Library to verify that this is the correct version before use: https://nodis3.gsfc.nasa.gov.

NPR 8705.6D -- Chapter1 Page 6 of 26

1.2.2.2 IFOSA process. This process provides independent verification that institutions, facilities, and operations at each NASA Center are in compliance with the applicable NASA SMA institutional, facility, and operational requirements.

1.2.2.3 QAAR process. This process provides independent verification that each NASA Center, program, and project is in compliance with the applicable NASA SMA quality assurance and software assurance requirements.

1.2.2.4 Chapter 3 provides requirements for Safety and Mission Success Review (SMSR) process.

The SMSR process prepares Agency safety and engineering management to participate in program or project management pre-operations or major milestone review forums. The SMSR provides the knowledge, visibility, and understanding necessary for senior Agency safety and engineering management to concur or nonconcur with program decisions to proceed.

1.2.3 Chapter 4 provides requirements for Safety Culture Assessments. Safety Culture Surveys (SCS) are administered to assess workforce perceptions of the Center's Safety Culture and to monitor and improve safe behaviors, values and practices across the Agency.

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NPR 8705.6D -- Chapter1 Page 7 of 26

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 implemented.

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 documented 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

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NPR 8705.6D -- Chapter2 Page 8 of 26 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 Assessments and Investigations Office (AIO) for this purpose. However, the Chief, SMA may direct the AIO 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 AIO 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 AIO 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).

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NPR 8705.6D -- Chapter2 Page 9 of 26

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 Directors 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 AIO via the System for Tracking Audits/Assessments and Reviews (STAR).

c. Provide CAP status annually to the AIO 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 AIO 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 AIO, through the Center SMA Director, addressing resolution of all

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NPR 8705.6D -- Chapter2 Page 10 of 26 program and project SMA audit noncompliances.

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

2.4 Pre-Audit Discovery

2.4.1 The AIO conducts conducts Pre-Audit Discovery activities approximately 120 days prior to each IFOSA and QAAR to assist the audit teams in a collaborative effort to gather Center documents and records and to conduct a top-level review of select NASA contracts to identify requirement documents included in contract requirements in support of IFOSA and QAAR.

2.4.2 For NASA-designated programs and projects, and as funding permits, the AIO conducts 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 AIO 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 AIO 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 Centers 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 AIO 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 AIO 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

NPR 8705.6D -- Chapter2 This document does not bind the public, except as authorized by law or as incorporated into a contract. This document is uncontrolled when printed. Check the NASA Online Directives Information System (NODIS) Library to verify that this is the correct version before use: https://nodis3.gsfc.nasa.gov.

NPR 8705.6D -- Chapter2 Page 11 of 26 conducted every other year as necessary.

2.7 Interim Center Assessment (ICA)

The AIO conducts interim Center assessments as part of the IFOSA and QAAR processes, as stated above, or upon request of the Agency or Center.

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NPR 8705.6D -- Chapter2 Page 12 of 26

Chapter 3. Safety and Mission Success Review

(SMSR)

3.1 Overview

3.1.1 The SMSR is a pre-decisional review held to prepare Agency safety, engineering, and health and medical management to participate in program final readiness reviews preceding launches and significant flight activities, including experimental and test launch vehicles, sample return capsules, or other reviews as determined by the heads of NASA's Technical Authorities (TAs). The SMSR provides the knowledge, visibility, and understanding necessary for senior safety, engineering, and health and medical management to either concur or non-concur in upcoming program decisions to proceed with a launch or significant flight activity.

3.1.2 SMSRs can be Agency-led or Center-led.

3.1.2.1 Agency-led SMSRs are conducted for any activity requiring Mission Directorate-level or higher-level decision to proceed.

3.1.2.2 Center-led SMSRs, hereafter referred to as Safety and Mission Success Assessments (SMSA), are conducted for any activity requiring lower than a Mission Directorate-level decision to proceed. SMSAs are led by Center safety management as the delegated SMA TA.

3.1.2.3 Decisions normally meeting the criteria for a SMSR may be delegated to a SMSA with the approval of NASA's TAs.

3.1.3 The Chief, SMA, the Chief Engineer, or the Chief Health and Medical Officer, as the heads of NASA's TAs, may request a SMSR or SMSA for other safety and mission success-critical program or project activities to ensure all risks are mitigated to an acceptable level, including:

a. Test readiness reviews, design certification reviews, and extravehicular activities.

b. Reviews of tailoring or nonconformity of program and project SMA, engineering, or health and medical requirements that may affect mission success or facility operations.

3.1.4 The SMSR is designed to:

a. Examine mission preparation status, open work issues, and concerns.

b. Review and affirm the results of assurance processes and requirements that have been implemented over the life of the program.

c. Verify compliance with the applicable requirements.

d. Provide adequate knowledge and visibility for NASA's TAs to understand the risks associated with the safety and mission success of program launches, operational stages, and selected critical tests, utilizing input from cognizant program and Center-based safety and reliability review panels (e.g., ground safety, payload safety, range safety, facility safety).

e. Assess overall systems readiness.

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NPR 8705.6D -- Chapter3 Page 13 of 26

f. Prepare each TA to proceed to final readiness reviews.

3.1.5 Data presented at the SMSR or SMSA is developed by:

a. Mission Directorate program authorities (such as Program Executive, Program Managers, and their equivalents).

b. The TAs (Agency-level and Project-level)

c. NASA Headquarters and NASA Center SMA organizations.

d. NASA Headquarters and NASA Center Engineering organizations.

e. NASA Headquarters and NASA Center Health and Medical organizations.

f. Other independent assessment groups (e.g., NASA Engineering and Safety Center, NASA Independent Verification and Validation Program, Center-based independent assessment organizations).

g. Applicable SMA and safety review panels.

h. Any organizations, groups, or individuals representing formal dissents.

3.2 Roles and Responsibilities

3.2.1 The Chief, SMA is responsible for organization, coordination, and management of the SMSR process. To that end, the Chief, SMA delegates an OSMA SMSR Manager to:

a. Coordinate within OSMA and with Center-based SMA Managers to identify which pending program and project events warrant a SMSR.v

b. Coordinate with the TA co-chairs to determine whether to hold a SMSR or SMSA.

c. Coordinate with effected organizations, groups, and individuals (see 3.1.5) to identify participants for a SMSR, establish an appropriate integrated schedule for SMSRs and SMSAs, and establish agendas for upcoming SMSRs.

d. Maintain and update, based on operational experience, detailed SMSR process documentation, and work instructions.

3.2.2 The SMSR co-chairs (any combination of the Chief, SMA, the Chief Engineer, and the Chief Health and Medical Officer) are responsible for:

a. Conducting a residual risk assessment poll of selected SMSR participants at the conclusion of the SMSR for a recommendation to proceed to the next level of review (e.g., Flight Readiness Review (FRR), Mission Readiness Briefing (MRB), or other, depending on which Mission Directorate is involved).

b. Communicating any concerns arising from the review with the Associate Administrator for the Mission Directorate involved.

c. Providing the logistic and resource support required for successful execution of SMSR and SMSA activities.

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NPR 8705.6D -- Chapter3 Page 14 of 26 activities.

3.2.3 Center Directors, in coordination with the Center SMA, Engineering, and Health and Medical representatives, are responsible for:

a. Participating in the SMSR process for each program and project applicable to their Center.

b. Directing the implementation of a Center SMA-hosted SMSA process for reviews chaired below the Mission Directorate level in which the Center SMA, Engineering, and Health and Medical organizations participate.

c. Conducting a poll of selected SMSA participants at the conclusion of the SMSA for a recommendation to proceed.

d. Ensuring the basic elements of a SMSA address the SMSR elements and, to the extent possible, parallel SMSR residual risk reporting formats.

e. Coordinating with program and project management and Center procurement organizations to ensure contracts provide for contractor support of SMSR and SMSA activities.

f. Providing the logistic and resource support required for successful execution of SMSR and SMSA activities.

3.2.4 Program and Project Managers are responsible for:

a. Ensuring accurate program and project material is presented at SMSRs and SMSAs that meets the specific needs of the review.

Note: SMSR/SMSA presentations are tailored for each specific mission and content is negotiated in advance of the SMSR/SMSA. For example, program and project managers may be asked to include a mission assurance process map and matrix in their SMSR/SMSA presentation that outlines the Program, Project, and Technical Authority roles and relationships as required and documented in the Program and Project SMA plan.

b. Coordinating with Center SMA and Center procurement organizations to ensure contracts provide for contractor support of SMSR and SMSA activities when applicable and appropriate.

Note: This includes contractor support that may be needed to prepare SMSR/SMSA presentations or present information at the SMSR/SMSA.

3.3 SMSR Process

3.3.1 The OSMA SMSR Manager prepares a recommendation for identified potential SMSR/SMSAs and routes to the SMSR co-chairs for their recommendation.

3.3.2 Each SMSR co-chair makes a recommendation to proceed to SMSR.

3.3.3 In a SMSR, these procedures are followed:

a. The OSMA SMSR Manager coordinates with participants to schedule, set the agenda, and collect the required inputs for the SMSR.

b. Centers provide accurate material to the OSMA SMSR Manager that meets the specific needs of

NPR 8705.6D -- Chapter3 This document does not bind the public, except as authorized by law or as incorporated into a contract. This document is uncontrolled when printed. Check the NASA Online Directives Information System (NODIS) Library to verify that this is the correct version before use: https://nodis3.gsfc.nasa.gov.

NPR 8705.6D -- Chapter3 Page 15 of 26 the review and present the materials during the SMSR.

c. Program and Project Managers provide accurate material to the OSMA SMSR Manager that meets the specific needs of the review and present the materials during the SMSR.

d. The OSMA SMSR Manager conducts the SMSR, assigns actions to participants, and documents the results from the final SMSR residual risk assessment poll.

3.3.4 In a SMSA, the delegated Center tailors and uses the procedures in 3.3.3 at their Center-level.

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NPR 8705.6D -- Chapter3 Page 16 of 26

CHAPTER 4. Safety Culture Assessments

4.1 Overview

4.1.1 Safety culture is the part of safety and health management systems concerned with the way safety is perceived, valued, and prioritized in organizations.

4.1.2 NASA developed the Agency's Five Factor Safety Culture Model to standardize the understanding, expectations, and measurement of NASA's safety culture. Standardization helps establish a common language to discuss safety culture issues and concerns. More details on this program can be found in the NASA-HDBK-8709.24, NASA Safety Culture Handbook, and Orientation to NASA Safety Culture (SATERN Course HQ-SMA-ONSC), and Safety Culture for Supervisors (SATERN Course HQ-SMA-SCS). Routine feedback from the workforce is a fundamental tenet of developing and maintaining a healthy safety culture. Feedback should be obtained, analyzed, and shared on a regular basis to monitor and improve how the Agency prioritizes, values, and perceives safety.

4.1.3 The objective of the Safety Culture Survey is for personnel at all NASA Centers and organizations, including NASA HQ, to provide feedback regarding their safety culture at the Organizational, Directorate, Center, and Agency levels.

4.2 Roles and Responsibilities

4.2.1 Center Directors shall:

a. Assess the safety culture using the Agency's approved NASA Safety Culture Survey (SCS) every two years. The Safety Culture Working Group, in coordination with the OSMA established SCS schedule, may allow an alternate interval such as every three years, on a case by case basis.

b. Disseminate SCS results to Center stakeholders.

4.2.2 Center SMA Directors shall:

a. Inform the Center Director and OSMA on the SCS results within 90 days of survey closeout.

Survey closeout is when the Center stops accepting survey input.

b.Analyze and incorporate SCS results into review and planning of Center safety and health management systems.

4.2.3 OSMA shall:

a. Inform the NASA Administrator of Agency-level SCS results 120 days after the closeout of the last survey in the survey cycle.

b.Provide Agency-level SCS results to the Centers.

NPR 8705.6D -- Chapter4 This document does not bind the public, except as authorized by law or as incorporated into a contract. This document is uncontrolled when printed. Check the NASA Online Directives Information System (NODIS) Library to verify that this is the correct version before use: https://nodis3.gsfc.nasa.gov.

NPR 8705.6D -- Chapter4 Page 17 of 26

Appendix A. Definitions Assessment. An activity that uses a set of concepts and principles, not a standard, to evaluate the accuracy, efficiency and/or effectiveness of an entity.

Audit. A formal evaluation of compliance with SMA policies, procedures, processes, requirements, specifications, baselines, standards, instructions, codes, and contractual and licensing requirements.

Audit, Review, and Assessment Point of Contact. A person from the organization being audited, reviewed, or assessed who ensures that the audited organization is prepared for the audit, review, and assessment; coordinates the audit schedule with the audit, review, and assessment team; ensures that the appropriate personnel from the audited organization are available during the audit and can support the audit schedule; ensures that the audit, review, and assessment team has resources onsite to enable the completion of the audit (such as working space and information technology support).

Audit, Review, and Assessment Report. A document providing a record of an audit, review, or assessment results.

Audit, Review, and Assessment Team. A team comprising subject matter experts from NASA Headquarters, NASA Centers, and, if necessary, non-NASA organizations selected to conduct the SMA audits, reviews, and assessments.

Center SMA Director. As used in this directive, this term includes all Center management personnel designated by the Center Director to implement SMA audits, reviews, and assessments requirements.

Finding. A conclusion based on facts and objective evidence or lack thereof established during SMA audits, reviews, and assessments.

Flow down. The documented demonstration that a Center, program or project is operating in accordance with the Agency requirements through references to either each requirement of the Agency documents, or a general "shall" statement denoting the Agency document within the Center document. Flow down is accomplished by a Center document "shall" statement that invokes the Agency requirement, a generic shall statement identifying the Agency document within the Center document, references to each Agency requirement in the Center document, or a more stringent, Center-specific requirement identified in the Center document.

Institutional, Facility, Operational Safety Audit. An independent audit of NASA Center compliance with institutional, facility, and operational SMA requirements.

Mission Assurance Process Map. The mission assurance process map is a high-level, graphical representation of governing SMA policy and requirements, processes, and key participant roles, responsibilities, and interactions. It also includes the reporting structure that constitutes a program's/project's SMA functional flow.

Mission Assurance Process Matrix. The mission assurance process matrix is constructed to identify program life cycle assurance agents and specific assurance activities, processes, responsibilities, accountability, depth of penetration, and independence. The matrix includes key assurance personnel in Engineering, Manufacturing, Program Management, Operations, and SMA.

Objective Evidence. Data verifying or supporting the existence of a finding or compliance to

NPR 8705.6D -- AppendixA This document does not bind the public, except as authorized by law or as incorporated into a contract. This document is uncontrolled when printed. Check the NASA Online Directives Information System (NODIS) Library to verify that this is the correct version before use: https://nodis3.gsfc.nasa.gov.

NPR 8705.6D -- AppendixA Page 18 of 26

Objective Evidence. Data verifying or supporting the existence of a finding or compliance to requirements. Objective evidence may be obtained through observation, measurement, test, or other means and is not influenced by prejudice, emotion, or bias. Examples of objective evidence include, but are not limited to, procedures, records, work instructions, databases, reports, organizational charts, interviews, hardware, facilities test reports, configuration control documentation (i.e., drawings and specifications), mishap reports, corrective actions, and lessons learned.

Quality Audit, Assessment, and Review. An independent verification that each NASA Center, program, and project is in compliance with the applicable NASA SMA quality assurance and software assurance requirements.

Review. An activity that proposes to figure out how well the thing being reviewed is capable of achieving established objectives. Reviews ask the following question: is the subject (or object) of the review a suitable, adequate, effective, and efficient way of achieving established objectives.

Safety Culture. The value placed on safety as demonstrated by people's behavior. It is the way safety is perceived, valued, and prioritized in an organization. It reflects the commitment to safety at all levels in the organization. It is "how an organization behaves when no one is watching." Safety culture is expressed and observed via individual and group attitudes and behaviors and organizational processes.

NPR 8705.6D -- AppendixA This document does not bind the public, except as authorized by law or as incorporated into a contract. This document is uncontrolled when printed. Check the NASA Online Directives Information System (NODIS) Library to verify that this is the correct version before use: https://nodis3.gsfc.nasa.gov.

NPR 8705.6D -- AppendixA Page 19 of 26

Appendix B. Acronyms AIO Assessments and Investigations Office CAP Corrective Action Plan FRR Flight Readiness Review ICA Interim Center Assessment IFOSA Institutional, Facility, Operational Safety Audit IV&V Independent Verification and Validation

JPL Jet Propulsion Laboratory (a Federally Funded Research and Development Center)

MRB Mission Readiness Briefing NASA National Aeronautics and Space Administration NASA-STD NASA Standard NESC NASA Engineering and Safety Center NPD NASA Policy Directive NPR NASA Procedural Requirements NSC NASA Safety Center OSMA Office of Safety and Mission Assurance PVS Pressure Vessels and Pressurized Systems PRA Probabilistic Risk Assessment QAAR Quality Audit, Assessment, and Review R&M Reliability and Maintainability STAR System for Tracking Audits/Assessments and Reviews SMA Safety and Mission Assurance SMSA Safety and Mission Success Assessment SMSR Safety and Mission Success Review TA Technical Authority TAs Technical Authorities

NPR 8705.6D -- AppendixB This document does not bind the public, except as authorized by law or as incorporated into a contract. This document is uncontrolled when printed. Check the NASA Online Directives Information System (NODIS) Library to verify that this is the correct version before use: https://nodis3.gsfc.nasa.gov.

NPR 8705.6D -- AppendixB Page 20 of 26

Appendix C. References C.1 NPD 1200.1, NASA Internal Control.

C.2 NPD 1440.6, NASA Records Management.

C.3 NPR 1400.1, NASA Directives and Charters Procedural Requirements.

C.4 NASA-STD-8709.22, Safety and Mission Assurance Acronyms, Abbreviations, and Definitions.

C.5 NASA-HDBK-8709.24, NASA Safety Culture Handbook.

NPR 8705.6D -- AppendixC This document does not bind the public, except as authorized by law or as incorporated into a contract. This document is uncontrolled when printed. Check the NASA Online Directives Information System (NODIS) Library to verify that this is the correct version before use: https://nodis3.gsfc.nasa.gov.

NPR 8705.6D -- AppendixC Page 21 of 26

Appendix D. Table of Minimum SMA Requirements Documents and Associated Audit, Review, and Assessment Requirements (this list is not all inclusive of the audit scope)

Requirements Document IFOSA QAAR

Interim/ Independent Assessment

NPD 8700.1, NASA

Policy for Safety and Mission Success

X X X

NPD 8710.5, Policy for Pressure Vessels and Pressurized Systems

X X X

NPD 8720.1, NASA

Reliability and Maintainability (R&M) Program Policy

X

NPD 8730.1, Metrology and Calibration X X

NPD 8730.2, NASA

Parts Policy X X

NPD 8730.5, NASA

Quality Assurance Program Policy

X X

NPR 4100, NASA

Materials Inventory Management Manual

X X

NPR 7150.2, Software Engineering (SMA requirements only)

X X

NPR 7900.3, Aircraft Operations Management

(Currently audited by the

Intercenter Aircraft

Operations Panel)

NPR 8705.6D -- AppendixD This document does not bind the public, except as authorized by law or as incorporated into a contract. This document is uncontrolled when printed. Check the NASA Online Directives Information System (NODIS) Library to verify that this is the correct version before use: https://nodis3.gsfc.nasa.gov.

NPR 8705.6D -- AppendixD Page 22 of 26

NPR 8000.4, Agency Risk Management Procedural Requirements

X

NPR 8621.1, NASA

Procedural Requirements for Mishap and Close Call Reporting, Investigating, and Recordkeeping

X (Including the Center and resident programs and projects)

X

NPR 8705.2,

Human-Rating Requirements for Space System

X

NPR 8705.4, Risk Classifications for NASA Payloads

X

NPR 8705.5, Technical Probabilistic Risk Assessment (PRA) Procedures for Safety and Mission Success for NASA Programs and Projects

X

NPR 8705.6, Safety and Mission Assurance Audits, Reviews, and Assessments

X X X

NPR 8715.1, NASA

Occupational Safety and Health Programs

X X

NPR 8715.3, NASA

General Safety Program Requirements

X X

NPR 8715.5, Range Flight Safety Program

X (Non-Unmanned Aircraft Systems range operations, including space launch/ entry and scientific balloon operations)

X

NPR 8705.6D -- AppendixD This document does not bind the public, except as authorized by law or as incorporated into a contract. This document is uncontrolled when printed. Check the NASA Online Directives Information System (NODIS) Library to verify that this is the correct version before use: https://nodis3.gsfc.nasa.gov.

NPR 8705.6D -- AppendixD Page 23 of 26

NPR 8715.6, NASA

Procedural Requirements for Limiting Orbital Debris

X

NPR 8715.7,

Expendable Launch Vehicle Payload Safety Program

X

NPR 8735.1, Procedures for Exchanging Parts, Materials, and Safety Problem Data Utilizing the Government-Industry Data Exchange Program and NASA Advisories.

X (Including

Center operations and programs and projects)

X

NPR 8735.2,

Management of Government Quality Assurance Functions for NASA Contracts

X X

NASA-STD-6008,

NASA Fastener Procurement, Receiving Inspection, and Storage Practices for Spaceflight Hardware

X X

NASA-STD-8709.20,

Management of Safety and Mission Assurance Technical Authority

(SMA TA)

Requirements (As required by NPR 8715.3)

X X

NASA-STD-8719.7,

Facility System Safety Guidebook (As required by NPR 8715.3)

X X

NASA STD-8719.9,

Standard for Lifting Devices and Equipment (As required by NPR 8715.3)

X X

NPR 8705.6D -- AppendixD This document does not bind the public, except as authorized by law or as incorporated into a contract. This document is uncontrolled when printed. Check the NASA Online Directives Information System (NODIS) Library to verify that this is the correct version before use: https://nodis3.gsfc.nasa.gov.

NPR 8705.6D -- AppendixD Page 24 of 26

NASA-STD-8719.11,

Safety Standard for Fire Protection (As required by NPR 8715.3)

X X

NASA-STD-8719.12,

Safety Standard for Explosives, Propellants, and Pyrotechnics (As required by NPR 8715.3)

X X

NASA-STD-8719.13,

Software Safety Standard (As required by

NPR 7150.2)

X X

NASA-STD 8719.14,

Process for Limiting Orbital Debris (As required by NPR 8715.6)

X

NASA-STD-8719.17,

NASA Requirements for Ground-Based Pressure Vessels and Pressurized Systems (PVS) (As required by NPD 8710.5)

X X

NASA-STD-8739.1,

Workmanship Standard for Polymeric Application on Electronic Assemblies (as required by NPD 8730.5)

X X

NASA-STD-8739.2,

Workmanship Standard for Surface Mount Technology (applicable to the extent noted in

NASA-STD-8739.6,

9.3.1 & 9.3.2)

X X

NASA-STD-8739.3,

Soldered Electrical Connections (applicable to the extent noted in

NASA-STD-8739.6,

9.3.1 & 9.3.2)

X X

NPR 8705.6D -- AppendixD This document does not bind the public, except as authorized by law or as incorporated into a contract. This document is uncontrolled when printed. Check the NASA Online Directives Information System (NODIS) Library to verify that this is the correct version before use: https://nodis3.gsfc.nasa.gov.

NPR 8705.6D -- AppendixD Page 25 of 26

NASA-STD-8739.4,

Crimping, Interconnecting Cables, Harnesses, and Wiring (as required by NPD 8730.5)

X X

NASA-STD-8739.5,

Fiber Optics Terminations, Cable Assemblies, and Installation (as required by NPD 8730.5)

X X

NASA-STD-8739.6,

Implementation Requirements for NASA Workmanship Standards (as required by NPD 8730.5)

X X

NASA-STD-8739.8,

Software Assurance Standard (as required by

NPR 7150.2)

X X

NPR 8705.6D -- AppendixD This document does not bind the public, except as authorized by law or as incorporated into a contract. This document is uncontrolled when printed. Check the NASA Online Directives Information System (NODIS) Library to verify that this is the correct version before use: https://nodis3.gsfc.nasa.gov.

NPR 8705.6D -- AppendixD Page 26 of 26