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NPR 1040.1
Effective Date: July 03, 2003
Expiration Date: August 03, 2024
Printable Format (PDF)

Subject: NASA Continuity of Operations (COOP) Planning Procedural Requirements (Revalidated with Change 3, 9/13/2012)

Responsible Office: Office of Protective Services

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P.1 Purpose

a. This NPR provides NASA Management, Center Directors, Chief Information Officers (CIO), Program Managers, and network administrators, with a step-by-step approach to preparing a Continuity of Operations Plan (COOP), which addresses long-term losses or disruptions of primary mission-essential operations, supporting facilities, Information Technology (IT) systems, and other essential interdependencies.

b. In accordance with The National Continuity Policy, continuity requirements are incorporated into daily operations of all executive departments and agencies. As a result of the asymmetric threat environment, adequate warning of potential emergencies that could pose a significant risk to the homeland may not be available, and therefore all continuity planning shall be based on the assumption that no such warning will be received. Emphasis will be placed upon geographic dispersion of leadership, staff, and infrastructure in order to increase survivability and maintain uninterrupted essential functions. COOP should provide for a planning and implementation framework that is designed to integrate and expand upon existing emergency preparedness processes established under NPD 8710.1, Emergency Management Program, NPR 8715.2, NASA Emergency Preparedness Plan Procedural Requirements, the requirements of the Computer Security Act of 1987 and Office of Management and Budget (OMB) Circular A-130. This will allow the Agency to properly and efficiently address the steps to be taken to maintain its mission-essential operations or implement transfer of these mission essential operations to alternate location(s), in the event of an emergency causing long-term contingencies, losses, or disruptions to normal operations.

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 Jet Propulsion Laboratory (JPL), a Federally Funded Research and Development Center (FFRDC), other contractors, grant recipients, or parties to agreements only to the extent specified or referenced in the appropriate contracts, grants, or agreements.

b. In this directive, all mandatory actions 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 nor required, "will" denotes expected outcome, and "are/is" denotes descriptive material.

P.3 Authority

a. Computer Security Act of 1987, as amended, 40 U.S.C. § 1441 et seq.

b. OMB Circular A-130, Management of Federal Information Resources, as amended.

c. OMB Circular A-11, Preparation, Submission and Execution of the Budget (6/26/08).

d. PDD 62, Protection Against Unconventional Threats to the Homeland and Americans Overseas, May 22, 1998.

e. FCD 1, Federal Continuity Directive, Federal Executive Branch National Continuity Program and Requirements, Feb 2008.

f. FPC 66, Test, Training and Exercise (TT&E) Program for Continuity of Operations (COOP), April 30, 2001.

g. FPC 67, Acquisition of Alternate Facilities for COOP, April 30, 2001.

h. National Response Framework.

i. NPD 8710.1, Emergency Preparedness Program.

j. NPD 1440.6, NASA Records Management.

k. NPD 1040.4, NASA Continuity of Operations.

l. NPR 8715.2, NASA Emergency Preparedness Plan Procedural Requirements.

m. NPR 8000.4, Risk Management Procedural Requirements.

n. NPR 1620.1, as amended, NASA Security Procedural Requirements.

P.4 Applicable Documents and Forms

a. National Aeronautics and Space Act, as amended, 51 U.S.C. § 20113(a).

b. Comprehensive Preparedness Program, 50 U.S.C. § 2353.

c. Federal Emergency Management, Executive Order 12148, C.F.R., 412 1979.

d. Assignment of Emergency Preparedness Responsibilities, Executive Order 12656, C.F.R., 585 1988.

e. Homeland Security Presidential Directive (HSPD) -7, Critical Infrastructure identification, Prioritization and Protection, December 17, 2003.

f. National Security Presidential Directive (NSPD) -51 / HSPD-20, National Continuity Policy, May 9, 2007.

g. Assignment of National Security and Emergency Preparedness Communications Functions 13618, July 6, 2012.

P.5 Measurement/Verification

a. In assessing whether NASA complies with current regulations, the NASA Office of Protective Services shall utilize a modified version of the Federal Emergency Management Agency (FEMA) Federal Continuity Evaluation tool to assess continuity plans and readiness at Centers and Component Facilities.

b. Ensure the assessment focuses on evaluating Center continuity programs, plans, and procedures and establish a baseline for demonstrating the extent to which a Center will implement, test, and train personnel under their continuity plans and procedures.

c. Each Center will submit to the Agency Continuity Manager each January 30th a copy of the assessment that covers the preceding year from January 1 to December 31.

P.6 Cancellation


Revalidated, September 13, 2012

/s/ Bryan O'Connor
Associate Administrator for
Safety and Mission Assurance

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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.