Policy
Directive
Effective Date: September 14, 2011
Expiration Date: September 14, 2026
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NASA Policy Directive |
NPD 1400.1K Effective Date: September 14, 2011 Expiration Date: September 14, 2026 |
Chg# |
Approver |
Date Approved |
Description/Comments |
1 |
Directives Management Team |
08/04/2015 |
Revalidated for another 5 years with administrative edits made to Figure 1 in Attachment D to make clear that interim directives are on the same level as other directive types, to remove unnecessary "shall" statements in the responsibility and measurements sections, and to add an additional authority requiring directives management. |
2 |
Directives Management Team |
11/19/2018 |
Updated the Delegation of Authority section to make the following delegations: Designate the Associate Administrator, or designee, signature authority for Agency-level directives (NPDs and NPRs). Designate the Deputy Associate Administrator, as the Directives Resolution Official Notes: No delegations go beyond the Deputy Associate Administrator |
3 |
Directives Management Team |
08/17/2021 |
Revalidated for another 5 years with administrative edits. |
4 |
Office of the Executive Secretariat |
02/13/2023 |
Administrative updates were made to align the directives function with the Office of the Executive Secretariat; clarify responsibilities for officials within the A Suite; update office and position titles, and remove the measurement/ verification statements as there are no requirements to measure or verify in this directive. |
a. It is NASA's policy to establish, document, and promulgate internal NASA requirements in order to communicate these requirements in a clear, efficient, and concise manner, and where necessary, to fulfill the Agency's vision, mission, and external mandates.
(1) An internal NASA requirement is a statement of mandatory instructions, imposed by NASA, that a NASA employee or organization will perform or a statement of form "and/or" function that a piece of equipment or system will meet.
(2) An internal NASA requirements document is any document used to record and communicate the internal requirements and responsibilities necessary to fulfill the Agency's vision, mission, and external mandates.
b. NASA's policy is to also establish charters to govern councils, boards, committees, panels, or working groups mandated by statute, the NASA Administrator, or Officials-in-Charge of Headquarters Offices in order to make decisions for the Agency.
c. It is NASA's policy that all internal NASA requirements documents are:
(1) Developed and controlled by a documented process.
(2) Clearly labeled as containing requirements.
(3) Available Agency wide to those who need them.
(4) Verifiable for internal/external audits.
(5) Current.
(6) Traceable to governing documents.
d. It is NASA's policy to review all Agency-level directives for cost/benefit impacts, as described in NPR 1400.1, NASA Directives and Charters Procedural Requirements.
e. It is NASA's policy that all internal NASA charters comply with the provisions of paragraphs 1a and 1c, excluding paragraphs 1c(2) and (4).
f. When internal requirements are consistent with the purpose of an external requirement but meet or exceed those requirements, thereby making internal requirements more stringent, it is NASA policy that the internal NASA requirements apply. (See Attachment C for examples of external requirements).
g. It is NASA's policy that NASA directives take precedence over all other internal NASA requirements. The flow and order of precedence for internal NASA documents are described in Figure 1 of Attachment D. Attachment A provides the definition for the documents that constitute NASA directives.
h. It is NASA's policy that internal NASA documents other than directives, such as the examples mentioned in Attachment C, become requirements when a directive specifies its use (by citing the document's title, revision letter/number, and date) or when a NASA manager with authority over a NASA program, project, or other activity, identifies it as a requirement.
a. This NPD is applicable to NASA Headquarters and NASA Centers, including Component Facilities and Technical and Service Support Centers.
b. This NPD is applicable to internal NASA requirements and charters developed or revised after the effective date of this NPD.
c. In this NPD, all mandatory actions (i.e., requirements) are denoted by statements containing the term "shall." The terms "may" or "can" denote discretionary privilege or permission, "should" denotes a good practice and is recommended, but not required, "will" denotes expected outcome, and "are or is" denote descriptive material.
a. Administrative, 40 U.S.C. 121(c)(2), Pub. L. 107-217, § 1, Aug. 21, 2002, 116 Stat. 1062.
b. The National Aeronautics and Space Act, as amended, 51 U.S.C. § 20113.
c. Creation, Maintenance, and Use of Records, 41 CFR pt. 102-193.25(c).
NPR 1400.1, NASA Directives and Charters Procedural Requirements.
a. The Director, Office of the Executive Secretariat (or designee) establishes and maintains the requirements for documentation and promulgation of internal NASA requirements.
b. Officials-in-Charge of Headquarters Offices and NASA Center Directors ensure that all internal NASA requirements documents developed under their authority comply with the provisions of this NPD.
c. The NASA General Counsel (General Counsel for Agency-level directives; Chief Counsel for Center-level directives), or designee, reviews all directives and charters for legal propriety and provide comments during coordination and prior to the release of the document for use.
d. The NASA Chief Financial Officer (Chief Financial Officer for Agency-level directives; Center Chief Financial Officer for Center-level directives):
(1) reviews all directives to ensure proper financial, resource (including budget, strategic planning, and performance), and acquisition consideration, and comment all directives during the coordination process;
(2) concurs on all directives prior to signature by the approving NASA official.
e. The Chief Human Capital Officer for Agency-level directives (Center Human Resources for Center-level directives) coordinates the review of all directives with the national/local offices of Federal labor organizations in addition to conducting its own review and providing a concurrence on these documents.
f. The Assistant Administrator for Procurement (Procurement for Agency-level directives; Center Procurement/Acquisition for Center-level directives) reviews and concurs on all directives to determine acquisition impacts.
g. The Inspector General, in accordance with the Inspector General Act of
1978, 5 U.S.C. app. § 4(a)(2), as amended, reviews and, as
necessary, comments on each Agency-level directive during the official
review and approval process to identify its possible impact on
effectiveness and efficiency in the administration and operations of NASA
programs and preventing fraud, waste, and abuse in NASA programs.
a. The Deputy Administrator, or the designated senior official within the Office of the Administrator:
(1) Serves as the Agency-level Directives Resolution Official (DRO) to resolve impasses, such as nonconcurrences and other issues that cannot be resolved at the organizational level.
(2) Concurs on all NPDs and NPRs prior to publication.
b. The Associate Administrator:
(1) Concurs on all NPDs and NPRs prior to publication.
(2) Approves NPDs and NPRs when delegated.
(3) Serves as the DRO when delegated or in the absence of the Deputy Administrator.
NPD 1400.1J, Documentation and Promulgation of Internal NASA Requirements, dated March 3, 2005.
Agency-level directives are directives (e.g., NASA Policy Directives (NPD), NASA Procedural Requirements (NPR), and NASA Interim Directives (NID) with Agency-wide applicability).
NPDs are policy statements that describe what is required by NASA management to achieve NASA's vision, mission, and external mandates and who is responsible for carrying out those requirements. An NPD may be referenced in one or more NPR, Center-level directives, or other internal requirements. NPDs apply to NASA Headquarters and NASA Centers, including Component Facilities and Technical and Service Support Centers. The signatory authority for NPDs is the NASA Administrator.
NPRs provide the Agency's mandatory instructions and requirements to implement NASA policy as delineated in an associated NPD. All NPRs relate to one of more NPDs. NPRs apply to NASA Headquarters and NASA Centers, including Component Facilities and Technical and Service Support Centers. The signatory authority for NPRs is the Official-in-Charge (OIC) of the Headquarters Office originating the NPR (See NPD 1000.3, The NASA Organization, paragraph 1.2.2) or the Administrator. However, prior to signature, NPRs are concurred on by designated officials within the Office of the Administrator.
NIDs provide an immediate, short-term statement of the Agency's policies and responsibilities for policy implementation. NIDs are issued with a mandatory expiration date, not to exceed 12 months from the date of issuance, unless an extension is granted. NIDs apply to NASA Headquarters and NASA Centers, including Component Facilities and Technical and Service Support Centers. The signature authorities for NIDs are determined by the OIC of the Headquarters Office originating the NID and the Office of the Administrator.
Center-level directives are directives (e.g., Center Policy Directives (CPD); Center Procedural Requirements (CPR); and Center Interim Directives (CID)) with Center-specific applicability.
CPDs define Center-specific policy requirements and responsibilities and comply with requirements delineated in associated NPDs or NPRs. CPDs apply only to the issuing Center and operations performed by NASA personnel at that Center. Center Directors, or designee (s), are the signatory authority for CPDs.
CPRs establish Center-specific procedural requirements and responsibilities to implement the policies defined in related NPDs, NPRs, or CPDs. CPRs apply only to the issuing Center and operations performed by NASA personnel at that Center. Center Directors, or designee(s), are the signatory authority for CPRs.
CIDs provide an immediate, short-term statement of the Center's policies and responsibilities for policy implementation. CIDs are issued with a mandatory expiration date not to exceed 12 months from the date of issuance, unless an extension is granted. CIDs apply only to the issuing Center and operations performed by NASA personnel at that Center. Center Directors, or designee(s), are the signatory authority for CIDs.
NASA charters are documents that govern councils, boards, committees, panels, and working groups established under the auspices of an Agency Governance Council.
NASA directives refer to both Agency-level and Center-level directives.
B.1 Inspector General Act of 1978, as amended, 5 U.S.C. app.
B.2 40 U.S.C. § 11101 et seq., Clinger-Cohen Act of 1996.
B.3 44 U.S.C. § 3501 et seq., the Paperwork Reduction Act of 1995, as amended.
B.4 36 CFR. Chapter XII, Subchapter B, Records Management.
B.5 OMB Circular A-119, Transmittal Memorandum, Federal Participation in the Development and Use of Voluntary Standards (02/10/1998).
B.6 NPD 1001.0, NASA Strategic Plan.
B.7 NPD 7120.4, NASA Engineering and Program/Project Management Policy.
B.8 NPR 7120.10, Technical Standards for NASA Programs and Projects.
C.1 Internal NASA documents other than directives, such as the examples mentioned below, become requirements when a directive specifies its use (by citing the document's title, revision letter/number, and date) or when a NASA manager with authority over a NASA program, project, or other activity, identifies it as a requirement. The following are examples of other NASA internal documents:
a. NASA Technical Standards. NASA technical standards are NASA documents that contain common and repeated use of rules, conditions, guidelines, or characteristics for products or related processes and production methods and related management systems practices. NASA technical standards may contain the definition of terms; classification of components; delineation of procedures; specification of dimensions, materials, performance, designs, or operations; measurement of quality and quantity in describing materials, processes, products, systems, services, or practices; test methods and sampling procedures; or descriptions of fit and measurements of size or strength. Within NASA, the broad term "standard" may include the following specific document types: codes, guidebooks, handbooks, specifications, and standards." with "NASA Technical Standards Products. NASA technical standards products are NASA documents that contain common and repeated use of rules, conditions, guidelines, or characteristics for products or related processes and production methods and related management systems practices. NASA technical standards products may contain the definition of terms; classification of components; delineation of procedures; specification of dimensions, materials, performance, designs, or operations; measurement of quality and quantity in describing materials, processes, products, systems, services, or practices; test methods and sampling procedures; or descriptions of fit and measurements of size or strength. The term "NASA technical standards products" refers to technical standards, specifications, and handbooks developed and approved by NASA Headquarters offices, assigned a prefix of "NASA-STD-," "NASA- SPEC-," or "NASA-HDBK-," respectively, to the unique document number. NASA may adopt standards developed outside NASA in lieu of developing a NASA directive or standard. These include standards developed by other United States Government agencies or other standards development organizations (See OPM Circular A-119 and NPR 7120.10).
b. Plans. Plans are NASA documents that present goals, objectives, and operational details to guide users in achieving NASA's mission. NASA's planning process starts with long-term vision and mission and flows to more focused near-term plans and documents. Appendix IV of NPD 1001.0, NASA Strategic Plan, describes the relationship among strategic and planning documents.
c. Manuals. Manuals are NASA documents that explain functions, outline procedures, or provide additional details for an operation. Manuals usually contain examples to help users perform specific tasks.
d. Internal Agreements. Internal Agreements in the context of this NPD are NASA-documented commitments between NASA organizations or between a NASA individual and another NASA party.
e. Work Instructions. Work instructions are NASA documents that contain instructional requirements applied to an individual organization. They define the processes used to deliver products to customers or to meet the organization's mission requirements, as defined by directives.
f. Guidance. A statement of expectation that does not mandate
compliance.
Note: There are multiple NPDs, NPRs, NIDs, CPDs, CPRs, CIDs, and there
may be more specific hierarchical relationships among these documents.
This figure is simplied. Refer to other documents or hierarchical trees
to see the relationships among various programmatic and functional
areas.
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.