ADMS Electronic Source Document HeaderADMS Services

Ames Procedural
Requirements

APR 8715.1

Effective Date:05/29/2012
Expiration Date: 05/29/2017

COMPLIANCE IS MANDATORY

Ames Health and Safety Procedural Requirements

Chapter 51 - Extreme Environments Review Board

Table of Contents

51.1 Responsibilities
51.2 Safety, Environmental and Mission Assurance Directorate
51.3 Health Unit
51.4 Project Managers
51.5 EERRB Chair
51.6 EERRB Review and Authorization Procedure
51.7 Recordkeeping

Appendix A: Definitions
Appendix B: Acronyms
Appendix C: References (Authority)
Appendix D: EERB Project Review Checklist
Appendix E: Diving
Appendix F: Caving
Appendix G: Mountaineering
Appendix H: Risk Assessment Code (RAC) Matrix
Appendix I: Risk Ratings and Approval Levels
Appendix J: NASA Ames EERRB Process Flow
Appendix K: EXAMPLE, NASA Ames Project Plan
Appendix L: NASA Mishap Report
Appendix M: National Environmental Policy Act (NEPA) Checklist

51.1 Responsibilities

All persons who manage NASA affiliated research projects shall conduct operations in compliance with this policy and all applicable governing regulatory agency regulations/guidelines.

[Back to Table of Contents]

51.2 Safety, Environmental and Mission Assurance Directorate shall:

  1. Provide guidance and assistance in the development and implementation of the Extreme Environments Research Review Board.
  2. Provide an Industrial Hygienist to be a member of the EERRB.
  3. As requested, review and evaluate research plans, specifications, and research submittals.
  4. Provide a Systems Safety Specialist to be a member of the EERRB.

[Back to Table of Contents]

51.3 Medical Services/Health Unit shall:

  1. Provide consultation to the EERRB as requested.
  2. Provide exams as need for NASA Ames Civil Servant staff prior to travel.
  3. Provide "Fit for Duty" certification for non-CS staff.
  4. On a cost reimbursable basis, provide supplies, medical training, etc. to the project.

[Back to Table of Contents]

51.4 Project Managers (PM) shall:

  1. Ensure that all research meeting the definition of "extreme environments" is reviewed by the EERRB.
  2. Ensure that all EERRB action items levied are resolved and recommendations are considered.
  3. Ensure that no major changes to the research scope occur during the research operations without review and ATP by the EERRB chair or their representative.
  4. Provide safety, health, environmental, medical and emergency response training to all research participants as required or needed for their safety and protection.
  5. Ensure a National Environmental Policy Act (NEPA) checklist is completed, reviewed and approved by the Environmental Services Division at least two weeks prior to initiation. (Two months prior review is recommended).
  6. Ensure that all participants in the research are medically qualified to perform their work safely.

    NOTE: Medical requirements: research may not be conducted unless the Ames Medical Director or their designated physician, having been informed of the nature of the proposed research, finds the participant medically qualified. Such findings will be based on an examination of a nature and scope determined by the Medical Director or their representative.

  7. The PM shall immediately report all injuries, illnesses and close calls in accordance with NPD 8621.1, NASA Mishap and Close-Call Reporting, Investigating, and Recordkeeping Policy, and NPG 8621.1, NASA Procedures and Guidelines for Mishap Reporting, Investigating, and Recordkeeping. Reference Appendix L: NASA Mishap Report
  8. The PM shall report mishaps to the EERRB chair and the Safety, Health and Medical Services Division.
  9. Ensure records are kept documenting the occurrence of any instance requiring medical attention in the field. The PM shall note any such occurrences and make them available to the individual or their physician.
  10. Suspend research as requested by the Chair of the EERRB. A review by the EERRB or EERRB Chair is required for research to resume.
  11. Submit summary of field report with a "lessons learned" to improve future deployments and EERRB coordination with similar projects

[Back to Table of Contents]

51.5 EERRB Chairperson or designate shall:

  1. Be responsible for the process and documentation of EERRB Reviews and determine whether the field research should not be authorized due to the following situations:
  1. Non-compliance to the EERRB's and Federal requirements.
  2. Mishap, safety, health, or environmental concerns.
  3. Non-compliance of applicable regulations.
  4. Failure to adequately address action items or identified project deficiencies.
  5. Upon request, support mishap investigations from the NASA Safety Office and implement actions in accordance with NPD 8621.1.
  6. Keep a listing of all reviewed projects and their deployment dates.

[Back to Table of Contents]

51.6 EERRB Review and Authorization Procedure

51.6.1 Initial Review Procedure

51.6.1.1 Before any field research begins that involves extreme environments, the Project Manager must complete and submit a project plan to the Chair of the EERRB for review, level determination, and processing.

51.6.1.2 The proposed research may be considered exempt from the definition of extreme environments, research and may proceed without further reference to this instruction. 51.6.1.3 The research will be classified as level I, or level II.

51.6.1.4 The EERRB Chair or their representative shall use the risk assessment process described in Appendix H to classify the risk level. The procedure for EERRB approval at each risk level shall be as specified in Appendix I.

51.6.2 Authorization for Level I and Level II Research

51.6.2.1 Authorization for Level I research: the EERRB Chair or their representative without full EERRB approval shall approve Level I research. Although activities may begin immediately upon expedited approval by the EERRB Chair, approval may be retracted or amended for additional safety measures based on full EERRB review at its next scheduled meeting.

The EERRB Chair shall:

  1. Review the most current Project Plan.
  2. Request changes to the Project Plan.
  3. Upon approval sign the project deployment plan.
  4. Write an explanation if the project plan approval is not granted.

51.6.2.3 After the Final Approval Form for Level I or Level II Extreme Environments Research is received, the PM may not proceed until:

  1. Research participants have been thoroughly briefed and trained.
  2. The Ames Health Unit has medically qualified team members.
  3. The PM has verified that all the requirements of the EERRB have been satisfied or shall be satisfied as required by the EERRB Chair.

51.6.3 Continuation or Completion of Research

The EERRB reserves the right to conduct reviews at intervals commensurated with the degree of risk of the research, but not to exceed a period of one year. The experimental site may be visited by Board members if additional information is required. If the PM wants to continue the same or similar research the following the year they will need to submit a revised project plan. An organizational chart may be required to define management structure. Within 60 days of completion of research a presentation shall be made to the EERRB chair. The PM shall be requested to debrief the EERRB within 60 days after the deployment is completed to discuss lessons learned.

51.6.4 Requirements of the Project Plan:

  1. The Project Plan need not be a unique standalone document. Existing project documents such as grant proposals and logistics plans may be submitted in lieu of a project plan if they address all of the information elements required by the EERRB for review.
  2. b. The plan should include the following separate sections, as applicable:
  1. The title of the proposed investigation.
  2. The name of the organization that shall conduct the research or the organization in which the research will be conducted.
  3. All research conducted under a cooperative or reimbursable arrangement or agreement entered into by NASA and another Government agency, private entity, non-Federal public entity, or foreign entity, must comply with the requirements of this APR chapter.
  4. The name of the PM and the co-investigators, if any; there can be only one PM. Curriculum vitae should be included as enclosures to the protocol if there are no up-to-date curriculum vitae on file with the EERRB Chair.
  5. The purpose of the research (This is not for scientific merit review, but to understand context and environmental interaction during the proposed deployment.).
  6. The historical background of, and justification for, the field research. Discuss relevant prior research in extreme environments or other research models. Reference pertinent scientific literature.
  7. Explanation of why the proposed research must be conducted in extreme environments versus under normal field locations or conditions.
  8. The proposed research schedule, including estimated beginning and ending dates. Identify which facilities will be used and when (building numbers, major equipment).
  9. Summary of field techniques to be incorporated during research activities (sampling methods)
  10. A written safety, health and environmental plan for monitoring the safety and environmental aspects of the proposed research and a description of the safety and environmental precautions taken.
  11. List all potential hazards and the plans to mitigate them.
  12. Provide a completed National Environmental Policy Act (NEPA) checklist.
  13. Under 14 CFR Part 1216, subpart 1216.3 (NASA's regulations for implementing the National Environmental Policy Act of 1969, as amended), environmental data or documentation is required in order to assist NASA in carrying out its responsibilities under NEPA, which includes determining whether the proposed activity requires the preparation of an environmental assessment or an environmental impact statement, or whether such activity can be excluded from this requirement. Therefore, it is necessary for the applicant to provide NASA with sufficient information to determine whether the proposed activity is of one of the following categories listed in 14 CFR subpart 1216.305(d), or whether the activity does not fall into one of these exclusions, is outside the scope of NEPA (such as advisory actions), is controversial on environmental grounds, or involves extraordinary circumstances. Even though the proponent or applicant considers that a proposed activity may or may not of a type eligible for exclusion from further environmental review, NASA may determine that an environmental assessment or an environmental impact statement is necessary for a proposed activity should substantial controversy on environmental grounds exist or if other extraordinary conditions or circumstances are present that may cause such activity to have a significant environmental effect.
  14. A designated ARC Government employee (NASA Point of Contact) who shall be responsible if the PM is not an Ames Government employee.
  15. Diving Plans can use the template in Appendix D.
  16. All marine research is considered scientific diving and falls under standards established under APR 8715.4 Standard for Scientific Diving.
  1. Exceptions: A project plan is not required if a project has been reviewed under the authority of one of the following established review boards and been granted authority to proceed in accordance with established procedures:
  1. Human Subjects Research Review Board
  2. Airworthiness Review Board

[Back to Table of Contents]

51.7 Recordkeeping

51.7.1 All EERRB documents shall be located in the EERRB Chair's office or other location designated by the EERRB Chair. Examples of major documents included, but not limited to:

  1. EERRB meeting minutes.
  2. EERRB recommendations, actions and emails.
  3. Training Records.
  4. Medical Surveillance Records (all medical surveillance records of NASA employees shall be located in the Ames Health Unit).

[Back to Table of Contents]

Appendix A: Definitions

  1. Extreme Environments: Any working environment at a field location that is extraordinary by its physical location, conditions, geography, altitude, weather, remoteness to medical assistance, and/or limited ability for rescue, etc.
  2. Extreme Environments (Specified Listing): All of the following operations are considered "Extreme Environments" for this policy.
  1. All diving operations.
  2. Research involving, but not limited to, planes, boats, balloons, pack animals, robots, mountain climbing not on a NASA Center
  3. Operations occurring at, but not limited to:
  4. At or above 8,000 feet
  5. Deserts
  6. Caves
  7. In bodies of water
  8. In Antarctica and the Arctic regions.
  9. U.S. National Parks
  10. International Research Sites
  1. Modes of transportation whether commercial or private will require distinct reviews.
  2. Extreme Environments also include the operation of sophisticated mechanical apparatus such as submarines, cranes/lifting devices used in the field, unusual modes of transports (ATV's, Four-wheel drives, etc.).
  3. Principal Investigator (PI): any researcher who has overall responsibility for all aspects of a funded and/or sponsored research project.
  4. Research: a systematic investigation, including development, testing, and evaluation, designed to test a hypothesis, enable conclusions to be drawn, and thereby develop or contribute to knowledge in general. The research is described in a formal protocol that sets forth an objective and a set of procedures designed to reach it.
  5. Funded Research: Research that is partially or completely underwritten by NASA through a contract, cooperative agreement, grant, or other funding mechanism, and which does not also involve permission by NASA to utilize NASA, U.S. Government, or foreign agency facilities, equipment, or personnel, including space and aircraft vehicles.
  6. Sponsored Research: Investigative and commercial experimental work approved by NASA to permit the utilization of NASA, U.S. Government, or foreign agency facilities, equipment, or personnel, including space and aircraft vehicles, whether or not NASA funds are used to support the research.
  7. Conducted Research: Research involving a PI or subordinate researcher who is a NASA employee.
  8. Life Science Research: Includes biomedical, biological, human factors/psychological, environmental health, and life-support experimentation.
  9. Level I Research: As determined by the EERRB Chair is considered previously approved, routine research or low risk. This level can be approved for deployment by the EERRB Chair without a full vote of the Board and shall be reviewed by the EERRB at the next available committee meeting.
  10. Level II Research: As determined by the EERRB Chair has either, never been reviewed/approved by the EERRB committee, is not routine, or is at a medium or high risk as determined by the Risk Assessment Code chart in this policy, and must be reviewed by the Board.

[Back to Table of Contents]

Appendix B: Acronyms:

AAUS American Academy of Underwater Sciences
AED Automatic External Defibrillator
AFSRB Airworthiness and Flight Safety Review Board
APR Ames Procedural Requirement
ATP Authority to Proceed
ATV All terrain vehicle
CFR Code of Federal Regulations
CPR Cardiopulmonary Resuscitation
CS Civil Servant
DSO Diving Safety Officer
EERRB Extreme Environments Research Review Board
NEPA National Environmental Policy Act
ODC Ozone depleting chemical
OSHA Occupational Safety and Health Administration
PI Principle Investigator
PM Project Manager
RAC Risk Assessment Code

[Back to Table of Contents]

Appendix C: References

NASA Ames adheres to and enforces this policy and all applicable Federal, State, and local governing regulatory agency laws/guidelines pertaining to field research and diving operations including:

  1. U.S. Department of Labor, Occupational Safety & Health Administration (OSHA)
  2. APR 8715.4 Standards for Scientific Diving
  3. National Environmental Policy Act (NEPA)
  4. NASA NPR 8715.3C NASA General Safety Program Requirements

[Back to Table of Contents]

Appendix D: EERRB Project Review Checklist

The impetus for initiating the NASA Ames Extreme Environments Research Review Board (EERRB) derives from the need to protect employees to the extent possible from injury and illness while working in off-site field locations that pose unusual environmental conditions or involve research operations with intrinsic risk not normally ameliorated by governmental regulations or risks not normally encountered in routine research operations. The EERRB integrates applicable regulatory agency requirements and NASA policy governing research-related work e.g. the National Environmental Policy Act (NEPA) 42 U.S.C. 4321.

Required Documents

  1. NEPA Environmental Check list (Where does one get this form)
  2. Medical Release Forms
  3. Project Plan
  1. Title
  2. Team Membership
  1. Command structure
  1. Scenarios of incapacitation
  2. Non-subjective criteria for end of expedition
  1. Responsibilities (lead, medic, dive rescue, etc.)
  2. Certificate/ Qualifications / Training Requirements
  1. CPR / AED
  2. First Aid (Advanced, Basic)
  3. Evidence
  1. Emergency Contact Information
  1. Description
  1. Goals / Objectives
  2. Location (desert, lake, mountain, cave, etc.)
  1. Political Requirements: Permits, laws, rules
  2. Environments conditions
  1. temp., altitude, depth, public access,
  2. Expected Weather
  3. Proximity to medical facilities.
  1. Power Standards (110v-?hz vs. 220v-50hz)
  2. Hazards
  1. Communication Plan
  1. Describe ability to call for emergency medical support or rescue
  1. Communication procedures.
  2. Communication equipment (i.e. Radios, Satellite phones, etc)
  1. Local Communications
  1. Schedule (travel, tasks, etc.)
  2. Field Protocols / Activities (diving, climbing, spelunking, etc.)
  1. Effort, Exposure & Recovery Time Management
  1. Describe appropriate schedules (Daily, Weekly, etc.)
  2. Address fatigue issues.
  1. Environmental Assessment
  2. Safety Plan
  1. Identify medical resources and contact information for local emergency response providers including distance from site and time to respond.
  1. Hospitals (location and distance)
  2. Decompression Chamber if applicable (confirm operational status)
  3. Revalidate information if it is historical info from a previous trip.
  1. Periodic Daily communications (Radio Checks)
  1. Document - to know how long since last contact
  2. Response Plan for failed contact
  1. Hazardous Analysis & Mitigation
  1. Monitoring/Prevention
  1. Daily Monitoring if applicable (Hart Rate, Blood Pressure, O2 Levels)
  2. No-Go Health Parameters
  1. Altitude sickness >2,400 meters (8,000 feet)
  1. Altitude Acclimatization Plan
  2. Mitigation plan (i.e. Diamox, descent, 02, Gamow Bag (Hyperbaric Bag etc.)
  1. General Safety Equipment
  2. Specialized Equipment
  1. Evacuation Plan
  1. Emergency Procedure
  1. Describe emergency evacuation plan.
  2. Describe use of private companies (Global Rescue.com, International SOS.com, etc.)
  3. Buddy pairing
  1. Medical Evacuation Protocol
  1. Rescue Equipment (splints, bandages, stocks basket)
  1. Acts of God
  1. Earthquake, Volcano Eruption, Hurricane, Avalanche, Fog, Waves, Currents, Snow, Rain, Wind, Political Stability, etc. as applicable.

[Back to Table of Contents]

Appendix E: Diving

Discipline Unique Considerations

  1. Discipline unique Hazards
  1. Sea Life (Fire Coral, Jelly Fish, Sharks, Etc.)
  2. Depth / Altitude
  3. Temperature
  4. Nitrogen
  5. Air-Travel
  6. Waves
  7. Currents
  8. Tides
  9. Hypothermia
  1. Training Requirements
  1. Scientific Diver, Certified
  2. Boat Captain, Certified
  3. Dry suits, Certified (designed to sink and float)
  4. Exposure Suits (designed to not sink)(Certification not Required)
  5. Enriched Air (Nitrox, Heliox, Triox, etc.)
  6. f. Gamow Bag (Portable Hyperbaric Bag)

[Back to Table of Contents]

Appendix F: Caving

Discipline Unique Considerations

  1. Hazards
  1. Atmospheric
  1. Oxygen Concentration
  1. Rescue bottles
  1. Explosive Atmospheres
  2. Hazardous Dust (e.g. Bat guano)
  1. Falling
  2. Climbing
  3. Collapse
  4. Hypothermia/Hyperthermia
  1. Training Requirements

[Back to Table of Contents]

Appendix G: Mountaineering

Discipline Unique Considerations

  1. Hazards
  1. Altitude sickness >2,400 meters (8,000 feet)
  1. Altitude Acclimatization Plan
  2. Diamox (start days before accent), descent, 02
  3. HAPE (High Altitude Pulmonary Edema)
  1. Hypothermia/Hyperthermia
  2. Falling
  3. Climbing
  1. Training Requirements
  1. Gamow Bag (Portable Hyperbaric Bag)

[Back to Table of Contents]

Appendix H: Risk Assessment Code (RAC) Matrix

[Back to Table of Contents]

Appendix I: Risk Ratings and Approval Levels

[Back to Table of Contents]

Appendix J:

[Back to Table of Contents]

Appendix K: Example, NASA Ames Project Plan

Project title:

Project Manager/PI:
Email:
Phone:
Organization:

Project description:

Field protocols (for all diving activities include, planned maximum depth, number of dives per day, estimated bottom time per day, diving platform to be utilized):

Dates of fieldwork:

Team members/Lead qualification/members training background:

Team emergency numbers:

Site location:

NEPA submittal and approval date:

Accident Management Plan

General Procedures:

  1. Rescue victim and/or position so the proper procedures may be initiated.
  2. Establish (A)irway, (B)reathing and (C)irculation as required.
  3. Administer 100% oxygen, if appropriate (in cases of Decompression Illness or Near Drowning).
  4. Activate the local Emergency Medical Services, EMS for transport to the nearest appropriate medical facility. (Local EMS will vary from site to site and must be stated in plan)
  5. DIVING RELATED
  1. Implement NASA Mishap Report Protocols

[Back to Table of Contents]

Appendix L: NASA Mishap Report

TO BE INSERTED, NASA Form 1627

[Back to Table of Contents]

Appendix M: National Environmental Policy Act (NEPA) Checklist

Please Read All of the Following and Check All Which Apply

(NOTE: Additional sheets may be used to explain responses to specific questions. Please number continuation sheets. NASA may request additional information to determine whether additional environmental review and documentation is necessary.)

RECORD OF ENVIRONMENTAL CONSIDERATION

To be filled out by NASA NEPA Document Manager Only:

The following level of review is required:

Comments field with the same instructions as for the comments field above. 

(Signature)________________________    ____________________
           NASA NEPA Document Manager	Date

[Back to Table of Contents]