NASA Risk Management Handbook

1 NASA/SP-2011-3422 Version November 2011 NASA Risk Management Handbook i NASA/SP-2011-3422 Version NASA Risk Management Handbook National Aeronautics and Space Administration NASA Headquarters Washington, 20546 November 2011 ii To request print or electronic copies or provide comments, contact the Office of Safety and Mission Assurance. Electronic copies are also available from NASA Center for aerospace Information 7115 Standard Drive Hanover, MD 21076-1320 at iii NASA STI Program .. in Profile Since its founding, NASA has been dedicated to the advancement of aeronautics and space science.

2 The NASA scientific and technical information (STI) program plays a key part in helping NASA maintain this important role. The NASA STI program operates under the auspices of the Agency Chief Information Officer. It collects, organizes, provides for archiving, and disseminates NASA s STI. The NASA STI program provides access to the NASA Aeronautics and Space Database and its public interface, the NASA Technical Report Server, thus providing one of the largest collections of aeronautical and space science STI in the world. Results are published in both non-NASA channels and by NASA in the NASA STI Report Series, which includes the following report types: TECHNICAL PUBLICATION.

3 Reports of completed research or a major significant phase of research that present the results of NASA Programs and include extensive data or theoretical analysis. Includes compilations of significant scientific and technical data and information deemed to be of continuing reference value. NASA counterpart of peer-reviewed formal professional papers but has less stringent limitations on manuscript length and extent of graphic presentations. TECHNICAL MEMORANDUM. Scientific and technical findings that are preliminary or of specialized interest, , quick release reports, working papers, and bibliographies that contain minimal annotation.

4 Does not contain extensive analysis. CONTRACTOR REPORT. Scientific and technical findings by NASA-sponsored contractors and grantees. CONFERENCE PUBLICATION. Collected papers from scientific and technical conferences, symposia, seminars, or other meetings sponsored or co-sponsored by NASA. SPECIAL PUBLICATION. Scientific, technical, or historical information from NASA programs, projects, and missions, often concerned with subjects having substantial public interest. TECHNICAL TRANSLATION. English-language translations of foreign scientific and technical material pertinent to NASA s mission.

5 Specialized services also include creating custom thesauri, building customized databases, and organizing and publishing research results. For more information about the NASA STI program, see the following: Access the NASA STI program home page at E-mail your question via the Internet to Fax your question to the NASA STI Help Desk at 443-757-5803 Phone the NASA STI Help Desk at 443-757-5802 Write to: NASA STI Help Desk NASA Center for aerospace Information 7115 Standard Drive Hanover, MD 21076-1320 iv v ACKNOWLEDGMENTS The project manager and the authors express their gratitude to NASA Office of Safety and Mission Assurance (OSMA) Management (Mr.)

6 Bryan O Connor, former Chief of OSMA; Mr. Terrence Wilcutt, Chief of OSMA; Mr. Wilson Harkins, Deputy Chief of OSMA; and Mr. Thomas Whitmeyer, Director of Mission Support Division) for their support and encouragement in developing this document. The development effort leading to this document was conducted in stages, and was supported by the individuals listed alphabetically below, who each brought unique experience and insights to the AUTHORS: Dr. Homayoon Dezfuli NASA System Safety Technical Fellow, NASA (Project Manager) Headquarters Dr. Allan Benjamin Information Systems Laboratories Mr. Christopher Everett Information Systems Laboratories Mr.

7 Gaspare Maggio Information Systems Laboratories Dr. Michael Stamatelatos Director of Safety and Assurance Requirements Division, NASA Headquarters Dr. Robert Youngblood Idaho National Laboratory CONTRIBUTING AUTHORS: Dr. Sergio Guarro The aerospace Corporation Dr. Peter Rutledge Quality Assurance & Risk Management Services Mr. James Sherrard Information Systems Laboratories Dr. Curtis Smith Idaho National Laboratory Dr. Rodney Williams Information Systems Laboratories REVIEWERS: This development benefited from review comments provided on the initial draft by many individuals. The authors wish to specifically thank the following individuals: Dr. Robert Abelson nasa jet propulsion Laboratory Dr.

8 Timothy Barth NASA Kennedy Space Center Mr. John Chiorini Center for Systems Management Mr. Chester Everline Jet propulsion Laboratory Mr. Louis Fussell Futron Corporation Dr. Frank Groen NASA Headquarters Mr. David Lengyel NASA Headquarters Dr. Robert Mulvihill Quality Assurance & Risk Management Services Ms. Sylvia Plants Science Applications International Corporation 1 Affiliations are as of the time of contribution to the development effort. vi Mr. William Powell NASA Marshall Space Flight Center Mr. David Pye Perot Systems Dr. James Rose Jet propulsion Laboratory Dr. Fayssal Safie NASA Marshall Space Flight Center Dr.

9 Nathan Siu U. S. Nuclear Regulatory Commission Dr. Clayton Smith Applied Physics Laboratory Ms. Sharon Thomas NASA Johnson Space Center Ms. Ellen Stigberg NASA Headquarters Dr. William Vesely NASA Headquarters Mr. Tracy Wrigley Bastion Technologies, Inc. Dr. Thomas Zang NASA Langley Research Center vii TABLE OF CONTENTS Table of Contents .. vii List of Figures ..xi List of Tables .. xiii Preface .. xv 1 INTRODUCTION .. 1 Purpose .. 1 Scope and Depth .. 1 Background .. 3 Applicability of Risk 4 When is RIDM Invoked? .. 5 When is CRM Applied? .. 6 Overview of the RIDM Process .. 6 Part 1, Identification of Alternatives .. 9 Part 2, Risk Analysis of Alternatives.

10 10 Part 3, Risk-Informed Alternative Selection .. 12 Avoiding Decision Traps .. 14 Overview of the CRM Process .. 15 Step 1, Identify .. 16 Step 2, Analyze .. 16 Step 3, Plan .. 19 Step 4, Track .. 19 Step 5, Control .. 20 Communicate and Document .. 20 2 RIDM PROCESS INTERFACES .. 21 Negotiating Objectives across Organizational Unit Boundaries .. 22 Preparing a Preliminary Risk Management Plan .. 22 Coordination of RIDM and CRM .. 22 Initializing the CRM Risks Using the Risk Analysis of the Selected Alternative .. 23 Rebaselining of Performance Requirements .. 24 Maintaining the RIDM Process .. 27 3 THE RIDM PROCESS .. 29 Part 1 Identification of 30 Step 1 Understand Stakeholder Expectations and Derive Performance Measures.