Procedural
Requirements
Effective Date: March 29, 2019
Expiration Date: December 31, 2024
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NASA Procedural Requirements |
NPR 1400.1H Effective Date: March 29, 2019 Expiration Date: December 31, 2024 |
| | TOC | ChangeLog | Preface | Chapter1 | Chapter2 | Chapter3 | Chapter4 | Chapter5 | AppendixA | AppendixB | AppendixC | AppendixD | AppendixE | AppendixF | ALL | |
The Administrator, or the designated senior official within the Office of the Administrator, approves all NPDs and NPRs prior to publication.
2.2.1 The Deputy Administrator, or the designated senior official within the Office of the Administrator:
a. 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.
b. Concurs on all NPDs and NPRs prior to publication.
2.3.1 The Associate Administrator:
a. Concurs on all NPDs and NPRs prior to publication.
b. Approves NPDs and NPRs when delegated.
c. Serves as the DRO when delegated or in the absence of the Deputy Administrator.
The Chief of Staff has overall responsibility for the NASA Directives System.
2.5.1 The Director, Office of the Executive Secretariat, or designee, implements and maintains the NASA Directives System and establishes and enforces the policies and requirements in NPD 1400.1 and this NPR. The Director, Office of the Executive Secretariat, or designee:
a. Verifies compliance with the requirements contained in this NPR by:
(1) Monitoring the processing of each Agency-level directive through NODIS and the subsequent signature process to ensure that all process steps and requirements of this NPR are completed correctly by the process participants. See Verification Matrix Table C-1 in Appendix C.
(2) Reviewing each Agency-level directive prior to the NODIS review to confirm that content and structure requirements are met and the corresponding signature package to verify completeness before submitting it for approval. See Verification Matrix Tables C-1, C-2, and C-3 in Appendix C.
b. Maintains document control for Agency-level directives through maintenance of the NODIS library, the NODIS database, and signed approval packages.
c. Monitors identified conflicts among directives and assists and supports the Agency-level DRO (Deputy Administrator, Associate Administrator (when delegated), or the designated senior official within the Office of the Administrator) in order to resolve impasses. See process requirements in Chapter 5.
d. Trains and assists DMs and directives writers in the performance of their duties.
e. Maintains Agency-level directives case files that include all the material from the Approving Official's signature package and disposes of all official files associated with approved Agency-level directives, according to NRRS 1441.1, NASA Records Retention Schedules. See Item #01/072.0.A of the NRRS and paragraph 4.2.9.1 of this NPR for a list of official files.
f. Reviews requests for waiver from requirements in this directive to determine if justifications warrant approval using the process requirements described in Chapter 5.
2.6.1 OICs of Headquarters Offices have overall responsibility for directives promulgated by offices within their respective organization and are responsible for:
a. Determining the Agency's or Center's need for establishing new Agency-level directives.
b. Concurring on their respective organization's NPDs and NPRs after the review is complete in preparation for the Administrator's, or designee's, approval to publish.
c. Approving their respective organization's NIDs for publication after the review is complete.
d. Ensuring that Agency-level directives under their responsibility are reviewed for continuing need, applicability, and accuracy at least once every five years.
e. Cancelling Agency-level directives under their responsibility when they are no longer needed in accordance with process requirements described in Chapter 5.
f. Ensuring that staff responsibilities are assigned to create or revise directives.
g. Designating a DM to assist, guide, and monitor the organization's directives activities.
h. Determining which Agency-level directives their organization should review during the official review and approval process.
i. Evaluating and dispositioning all requests for waivers from requirements in Agency-level directives under their responsibility using the process requirements in Chapter 5 or the respective directive's waiver process.
j. Ensuring compliance with Agency-level directives and that directives under their responsibility do not conflict with or replicate material provided in other Agency-level directives or external requirements.
k. Endorsing comments provided by their respective organization's reviewers and determining a concurrence decision based on those comments. Concurrence decisions are defined in Appendix A.
Note: The OIC may delegate the Responsible Office designation and responsibilities. Directives considered as "under their responsibility" include all directives promulgated by Responsible Offices that report to the OIC.
2.7.1 CDs, or designees, are responsible for:
a. Ensuring compliance with Agency-level directives and ensuring that Center-level directives do not conflict with or replicate material provided in Agency-level directives.
b. Designating a Center DM as a point of contact to assist, guide, and monitor directives activities.
c. Endorsing comments on Agency-level directives provided by their respective Center's reviewers, and determining a concurrence decision based on the responsible offices disposition of those comments. Concurrence decisions are defined in Appendix A.
d. Determining the Center's need for establishing, revising, or cancelling a Center-level directive to ensure successful and repeatable local business operations when Agency-level directives do not provide adequate policy or instruction (with the exception of Agency-level directives that provide common instructions and processes for mission support functional areas), when a situation is unique to their respective Center, or when a Center-level directive is no longer needed.
Note: It is at the discretion of Center management to determine whether Agency-level directives are sufficient or if more specific requirements or definition of responsibilities and processes at the local level are needed by the Center.
e. Approving Center-level directives.
2.8.1 The GC is responsible for:
a. Reviewing and commenting on all final drafts of Agency-level directives for compliance with the law after the review is completed by other reviewing offices and Centers.
b. Confirming that authorities, applicable documents, and references cited in Agency-level directives are formatted correctly, per paragraph 3.3.2.
c. Concurring on all Agency-level directives prior to approval by the NASA Administrator, or designee.
The IG is responsible for reviewing and commenting on all Agency-level directives during the official review and approval process to identify possible impacts on effectiveness of and efficiency in the administration and operations of NASA programs to prevent fraud, waste, and abuse in NASA programs. For additional information, see 5 U.S.C. App. § 4(a)(2).
The CFO or designee is responsible for reviewing, commenting, and concurring on all Agency-level directives to ensure proper financial (including accounting), resource (including budget, strategic planning, and performance), project planning and control, acquisition (including financial assistance), and other financial management (including systems, reporting, and internal control) considerations.
Chief Human Capital Officer (CHCO) is responsible for coordinating all final drafts of Agency-level directives for consultation with the national offices of Federal labor organizations (i.e., the American Federation of Government Employees and the International Federation of Professional and Technical Engineers) in addition to conducting its own review and submitting comments and concurrence on these documents. For additional information regarding the Agency's requirement to consult the national offices of Federal labor organizations, see 5 U.S.C. § 7113 and NPR 3711.1.
The CIO is responsible for reviewing and concurring on all Agency-level directives to determine if there are any requirements related to information systems and information technology (IT), information collections, forms, records (for decisions affecting the archiving or numbering of NASA directives), IT Security, Sensitive But Unclassified information, as well as external statutes that govern IT at agencies. For additional information regarding these statutes, refer to 5 U.S.C. § 552a, 42 U.S.C. § 12101, et seq., 44 U.S.C § 3501 et seq. (1980), and 44 U.S.C. § 3541 et seq.
The Director for NOJMO is responsible for reviewing and concurring on all Agency-level directives that cite applicability to JPL (an FFRDC) and coordinating these directives, if referenced in the Caltech contract, with the FFRDC Laboratory Director for comment.
The FFRDC Laboratory Director is responsible for reviewing Agency-level directives that are referenced in the Caltech prime contract and submitting comments, if any, to the NOJMO Director.
2.16.1 Responsible Offices, as subject-matter experts, prepare NASA directives using the requirements in Chapters 3 and submit directives for official review using the requirements in Chapter 4 of this NPR to include the following:
a. Consulting the Office of Procurement when drafting new or revised requirements directed toward contractors to determine acquisition law or regulation impact and/or requirements.
b. Submitting NPRs for official review only when there is an approved NPD that provides the authority for the NPR. Responsible Offices at the Centers may issue a CPR if there is an approved NPD, NPR, or CPD that provides the authority for the CPR.
Note: There need not be a separate NPD for each NPR or CPD for each CPR. An NPD or CPD may provide the authority for more than one NPR or CPR, respectively.
c. Submitting cost/benefit impacts (e.g., financial, human resources, and technical) to implement new requirements to avoid the potential for unintended consequences (See paragraph 4.2.6.1e(1)).
d. Mitigating and resolving unfunded mandates with Centers during the comment/disposition period of directives and presenting unresolved proposed unfunded mandates to the Quarterly Forums with Center Associate Directors.
e. Resolving impasses with opposing organizations according to the process requirements described in Chapter 5.
f. Maintaining currency for the directives they publish.
g. Ensuring that compliance with the requirements contained in Agency-level directives under their responsibility are verified.
Note: Spot checks, checklists, internal/external audits, or self-assessments may be used to ensure compliance.
h. Ensuring that Agency-level directives under their responsibility meet the requirements of this NPR, including responding to corrective actions.
i. Submitting final drafts of directives to their respective DM for signature package assembly and submission before the established suspense dates. See paragraph 4.2.10.1 for signature package routing.
j. Requesting extensions on suspense dates for directives in review or extensions on expiration dates for directives published in the NODIS Library using the requirements in Chapter 5.
2.16.2 The Responsible Offices at the Centers prepare Center-level directives according to paragraphs 2.17.1a-d and 2.17.1g, as well as Chapter 3 of this NPR.
Note: Policy or procedural requirement formulation is performed by NASA civil servants.
a. Participate in the review and concurrence process for directives and adhere to the review process deadlines in accordance with the process requirements described in Chapter 4.
b. Ensure distribution of the proposed directive to the appropriate subject-matter experts in time to adjudicate and resolve conflicts before submitting final comments that reflect the organization's or Center's position.
c. Notify Responsible Offices when they oppose proposed new requirements in accordance with the process requirements for resolving impasses described in Chapter 5.
DMT assists the Director, Office of the Executive Secretariat (OES), or designee, with implementing and managing all directives activities, processes, and requirements as described in paragraph 2.5 and Chapters 3-5.
2.19.1 DMs are the points of contact in each Headquarters organization, NASA Center, FFRDC, and NMO for matters pertaining to NASA directives. They are responsible for supporting OICs of Headquarters Offices, Headquarters senior managers, and CDs with directives activities and issues. This includes ensuring that directives are prepared and coordinated according to the requirements in this NPR. Specifically, DMs:
a. Manage the directives process at their location.
b. Provide assistance to employees at their location with accessing NODIS.
c. Coordinate the official review of directives at their location.
d. Determine, with input from the OIC (or designee), who should review Agency-level directives and ensure that reviewers are provided with the directive and the corresponding NHQ Form 184 that summarizes significant changes and contains cost/benefit impacts accessible from NODIS.
e. Consolidate reviewers' comments for the official response and provide reviewers with dispositions of comments provided by the responsible office.
f. Document and initiate resolution of conflicts among directives (Agency-level and Center-level) that are identified or reported.
Note: Conflict resolution for Agency-level directives is initiated by contacting the DM of the Responsible Office(s) for the directive(s) in conflict and notifying the Office of the Executive OES DMT.
g. Coordinate quality reviews of their organization's Agency-level directives with the respective Headquarters Quality Control Liaison.
h. Coordinate with directives writers to ensure that their directives meet the requirements of this NPR and that cost/benefit impact information to implement new/revised requirements is provided prior to submitting Agency-level directives for review.
i. Coordinate their organization's interim directives using the process requirements in Chapters 3 and 4 and request waivers from requirements using the process requirements in Chapter 5.
j. Participate in DM meetings and training conferences to remain aware of changes in the NASA directives process and NODIS.
k. Coordinate with their organization's Audit Liaison Representative (ALR) in order to acquire information on any Government Accountability Office (GAO) and IG audit recommendations that impact the revisions to directives so that this information can be captured on NHQ 184 forms prior to acceptance of directives in NODIS.
Note 1: NASA management (i.e., OICs and CDs) make the final determination on the acceptance of GAO and IG recommendations. Events may occur after the release of the audit report that alter the management's planned actions in response to an audit recommendation. The ALR performs an advisory role in the process.
Note 2: For Center-level directives, local instructions apply.
2.19.2 In addition to the responsibilities listed in paragraph 2.20.1, excluding paragraphs 2.20.1g-i, Center DMs:
a. Manage and maintain a current online repository of Center-level directives.
b. Maintain a master list of Center-level directives.
c. Ensure that Center-level directives are approved and published according to established procedures.
d. Track and monitor activities associated with processing NASA directives.
e. Train and assist directives writers and reviewers in the performance of their duties.
f. Manage case files for Center-level directives according to the Center's process and dispose of case files for all Center-level directives using NPR 1441.1.
2.19.3 The NOJMO DM is responsible for adhering to paragraphs 2.19.1a - 2.19.1e and 2.19.1j.
Note: Policy or procedural requirement coordination can be done by a NASA civil servant or a NASA contractor.
ALRs review their organization's directives, provided by the DM, to ensure that recommendations from the GAO and IG that are accepted by senior management are appropriately incorporated.
QCLs for Headquarters Responsible Offices are responsible for ensuring that Agency-level directives signature packages and the Action Document Summary (ADS) are properly prepared (e.g., grammar, formatting, and timeliness) using NPR 1450.10, NASA Correspondence Management and Communications Standards and Style.
The EOT is responsible for conducting final quality reviews of Agency-level directives in conformance with NPR 1450.10 and ensuring incorporation by the Responsible Office prior to approval by the Agency official.
The AGT is responsible for reviewing and concurring on all established and revised Agency-level charters to verify alignment with governing councils, as well as requests to cancel charters.
| TOC | ChangeLog | Preface | Chapter1 | Chapter2 | Chapter3 | Chapter4 | Chapter5 | AppendixA | AppendixB | AppendixC | AppendixD | AppendixE | AppendixF | ALL | |
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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.