REG NASA-LLIS-1471-2003 Lessons Learned Accident Investigations Formulation of an E-mail Retention and Archival Policy for an Independent Investigation.pdf

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1、Lessons Learned Entry: 1471Lesson Info:a71 Lesson Number: 1471a71 Lesson Date: 2003-08-31a71 Submitting Organization: JSCa71 Submitted by: David LengyelSubject: Accident Investigations/Formulation of an E-mail Retention and Archival Policy for an Independent Investigation Abstract: There is a need f

2、or an independent Accident Investigation Board to establish and adopt a formal policy for use, retention, and archiving of investigation-related e-mail to minimize inadvertent transmittal and archiving of sensitive data.Description of Driving Event: The Columbia Accident Investigation Board (CAIB) r

3、elied upon JSC for e-mail and network access. During a conference call with National Archive and Records Administration (NARA) representatives, JSC IT personnel, and NASA Archivists, the CAIB support staff was advised that all accident related e-mail, including CAIB e-mail accounts, were being backe

4、d up and retained as “permanent records” by NASA (See 19 March 2003 memo from Scott N. Pace, NASA HQ re: Ensuring Retention of Mishap-Related E-Mail on NASA Systems). NASA Archivists further stated that they planned to treat all accident related e-mail as records for consideration when submitting ar

5、chival documents to NARA. This will likely include CAIB e-mail unless the CAIB creates its own e-mail policy and conveys that policy to NASA and NARA.Lesson(s) Learned: 1. During the investigation, the Board did not adopt a formal policy for use, retention, and archiving of investigation e-mail. Con

6、sequently, e-mail was used to transmit CAIB generated investigative materials and analysis. Approximately two months after the investigation began, the General Counsel and DOJ/Aspen began researching NASA and NARA e-mail retention and archival policies for guidance.2. Provided by IHSNot for ResaleNo

7、 reproduction or networking permitted without license from IHS-,-,-3. E-mail generated by CAIB members may be subject to NASA e-mail and document retention policies because the applications and data reside on the JSC networkRecommendation(s): a71 Adopt a written policy for use, retention, and archiv

8、ing of investigation-generated e-mail, consistent with the charge and responsibilities of the investigating entity at the beginning of an independent investigation.a71 Use an independent e-mail system separate from NASA to minimize inadvertent transmittal and archiving of sensitive data on NASA netw

9、orks and systems.a71 Establish an independent server with a shared file system to reduce the use of e-mail by investigators for file sharing and document transmittal.a71 Make E-mail archival policies part of the Contingency Action Plan (CAP) Evidence of Recurrence Control Effectiveness: TBD NASA Res

10、ponseDocuments Related to Lesson: Agency Contingency Action Plan for Space Flight OperationsMission Directorate(s): a71 Space Operationsa71 Exploration SystemsAdditional Key Phrase(s): a71 Accident Investigationa71 Administration/Organizationa71 Computersa71 Configuration Managementa71 Information T

11、echnology/Systemsa71 NASA Standardsa71 Policy & Planninga71 Safety & Mission Assurancea71 SecurityAdditional Info: Provided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-Approval Info: a71 Approval Date: 2004-06-16a71 Approval Name: Ronald Montaguea71 Approval Organization: JSCa71 Approval Phone Number: 281-483-8576Provided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-