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 | |
4.1.1 The NODIS DMS is NASA's primary tool that provides an electronic means to create, review, comment, disposition comments, track, concur, approve, and publish Agency-level directives, per the NODIS Manual.
4.1.2 All NPDs and NPRs are coordinated according to the timeline in Figure 4. The coordination timeline for NPDs is no more than 130 calendar days, and the coordination timeline for NPRs is no more than 160 calendar days.
Figure 4. Directives Coordination Cycle
4.1.3 NPDs and NPRs that were coordinated in a prereview may be coordinated any time during the month on an out-of-cycle schedule for an expedited review for the number of days determined by the Responsible Office. To expedite a review of a directive, Responsible Offices shall:
a. Submit out-of-cycle review requests to the Office of the Executive Secretariat (OES), Directives Management Team (DMT) via e-mail and include the following in the request:
(1) Purpose/rationale.
(2) Internal or external requirement driving the Agency to expedite publishing requirements.
(3) Date by which NPD or NPR needs to be published.
(4) Timeline for coordination showing the number of days for each step of the coordination as illustrated in Figure 4. Download a timeline template to enter number of days for each step in the expedited review, here: Expedited Review.
(5) Names of the reviewers that participated in the prereview.
Note: An expedited review is more successful when a prereview is coordinated first.
4.1.4 OES DMT will withdraw directives from coordination if not submitted for approval by established suspense dates, unless the Responsible Office requests an extension. See process requirements for requesting extensions in Chapter 5.
4.1.5 The coordination process will not be used to impede the Agency's legal obligations with respect to mission accomplishment, protection of worker health and safety and protection of the public, protection of the environment, or national security.
4.1.6 Approved NASA directives are in effect for a maximum of five years. However, the Responsible Office can make revisions whenever a change is warranted. See content and structure requirements in Chapter 3 and process requirements in this chapter.
4.2.1 Responsible Offices for Agency-level directives shall use the NODIS DMS to establish or revise NPDs or NPRs within the timeline established in Figure 4. The Responsible Office may coordinate updates to sections of an NPR and include a summary of the changes in the directive's change log if the entire directive does not need to be revised.
4.2.2 Responsible Offices at the Centers shall use local processes to create, coordinate, and approve any Center-level directives.
4.2.3 Responsible Offices shall notify their DM prior to beginning the process to establish or revise a new directive.
4.2.4 Prereview Process
4.2.4.1 Responsible Offices should use a prereview process to coordinate complex directives when substantial comments are anticipated and require follow up (e.g., meetings, conference calls, etc.) with reviewing offices for a resolution. A prereview provides an opportunity to address these issues prior to an official review in the NODIS DMS. If a Responsible Office chooses to conduct a prereview, the following are standard steps in the prereview process:
a. Creating a draft of the new or revised directive according to Chapter 3.
Note: Local processes for prereview may have an established distribution list for directives prereviews. Consult your Center DM.
b. Determining the methodology (e.g., NODIS Open Review System (ORS) or e-mail) for coordinating the prereview and distributing the directive to those affected and those offices that the Responsible Office believes should review the draft.
Note: ORS (https://openreview.gsfc.nasa.gov/ORSHome.cfm) is a Web-based tool that may be used to coordinate a prereview. Documents requiring a prereview prior to an official review can be coordinated in ORS in accordance with the instructions provided in the NODIS Manual
c. Notifying DMs of preview activities (i.e., directive's number and title, and prereview participants.)
d. Coordinating, consolidating, and dispositioning comments in preparation for the official review of the directive.
Note: If a prereview is conducted, comments resolved during the prereview can be restricted by the Responsible Office during the official review.
4.2.5 Prior to Official Review
4.2.5.1 For NPDs and NPRs, the Responsible Office's DM shall complete the following before a directive is placed on the schedule for review:
a. Submit a NHQ 184 Form and load the directive in the NODIS DMS so that the OES DMT can verify compliance with content and structure requirements described in Chapter 3.
b. Forward the DMT's compliance review results to the Responsible Office for corrective action and assist with expediting corrections.
c. Load the revised draft directive in the NODIS DMS and notify the OES DMT, so that corrective actions can be verified.
d. E-mail the draft directive to the respective ALR, so that any information related to Government GAO and IG recommendations that require revisions to directives are appropriately captured. Confirmation of this coordination is required on the NHQ 184 Form before the directive is placed on the schedule for review.
4.2.6 Official Review and Approval
4.2.6.1 The official review and approval processes for Agency- and Center-level directives may be different. The Director for Mission Support Operations and CDs are responsible for establishing an official review and approval process at their location and shall ensure that the process includes, at a minimum, the following steps:
a. Release of the draft directive utilizing an approved method and/or forms for an official review.
b. Notification and request for review to specified organizations. This may include provisions to allow organizations an opportunity to request to be added or removed from the review.
c. Sufficient instructions to reviewers to ensure that the review adheres to the approved process and schedule.
d. A system to provide feedback to reviewers indicating how their comments were incorporated or a rationale for not incorporating the reviewer's comments.
e. For Agency-level directives, the Responsible Office shall:
(1) Request review of a directive in the NODIS DMS by completing and submitting an NHQ 184 Form, to include cost/benefit impacts to implement new requirements in terms of financial, human resources, technical (e.g., associated costs to implement new requirements and what can be gained by implementing the new requirements), and potential for unintended consequences.
Note: Appendix F outlines the cost/benefit impacts for implementing requirements added to NPR 1400.1. The Responsible Office may use this as an example of appropriate cost/benefit impacts to be included in all Agency-level directives.
(2) Disposition all comments provided on the directive's technical content and cost/benefit impacts in order to satisfy concerns of Reviewing Offices and Centers and forward those dispositions to the DM to enter in NODIS.
(3) Present unresolved proposed unfunded mandates to the Quarterly Forums with Center Associate Directors.
4.2.7 The Review, Comment, and Concurrence Process
4.2.7.1 Reviewing Offices and Centers shall:
a. Review and submit comments, including reconsideration of comments, on Agency-level directives' technical content and the accompanying cost/benefit impacts described on the NHQ Form 184 to the respective DM that will obtain a concurrence decision from the respective OIC or Center Director and enter the response in NODIS by the suspense date. If the concurrence decision is "concur" or "concur with comments," enter that decision with comments, if any, by the suspense date. If the concurrence decision is "concurrence dependent on disposition of comments" or "nonconcur," enter that decision with comments, then change the decision to "concur with comments" after the Responsible Office has satisfactorily dispositioned the comments. See Appendix A for concurrence decision definitions.
Note 1: Comments entered after the suspense date may not be considered by the Responsible Office.
Note 2: Reviewing Offices and Centers are encouraged not to submit grammatical comments on Agency-level directives to prevent discrepancies in grammatical corrections done by the NASA Headquarters ES prior to approval for issuance.
b. Identify specific comments that provide the basis for a nonconur and why and ensure that the nonconcur reflects the organization's or Center's position.
c. Notify the Responsible Office when proposed requirements in directives prevent implementation in an effort to mitigate, resolve, and elevate unresolved mandates to the Quarterly Forums with Center Associate Directors.
4.2.7.2 Mandatory concurring offices include:
a. The legal office shall record a concurrence decision on all directives (General Counsel for Agency-level directives; Chief Counsel for Center-level directives).
b. The financial office shall record a concurrence decision on all directives (Chief Financial Officer for Agency-level directives; Center Chief Financial Officer for Center-level directives).
c. The human resources office shall record a concurrence decision on all directives (Chief Human Capital Officer for Agency-level directives; Center Human Resources/Human Capital Management for Center-level directives).
d. The procurement office shall record a concurrence decision on all directives (Procurement for Agency-level directives; Center Procurement/Acquisition for Center-level directives).
e. The information officer's office shall record a concurrence decision on all directives (Chief Information Officer for Agency-level directives; Center Information Officer/Information Technology for Center-level directives).
f. The NASA Management Office shall record a concurrence decision on all Agency-level directives.
4.2.7.3 The IG shall review all Agency-level directives.
4.2.7.4 If, during the concurrence process, a reviewing office's or Center's nonconcurrence cannot be resolved, the Responsible Office shall initiate directive's resolution in accordance with process requirements in Chapter 5.
4.2.7.5 When OICs and CDs do not respond by established suspense dates, the OES DMT will notify the respective DMs, OICs, and CDs that the response is past due and grant a one-day extension for a response. If no response is received after the one-day extension, concurrence will be assumed.
4.2.7.6 Reviewing offices may request an extension in advance of the established suspense date directly with the Responsible Office. The Responsible Office determines the number of days for the extension, and, if necessary, requests a 30-day extension if it has determined that the granted extensions impede submission of the directive's signature package. See process requirements for requesting extensions in Chapter 5.
4.2.8 Prior to Assembling a Directive's Signature Package
4.2.8.1 The Responsible Office's DM, in coordination with the directive's originator, shall simultaneously e-mail (with a copy to the OES DMT) the final draft of the directive, a redlined version to show where all the changes were made, and a summary of the purpose, justification, and significant changes to:
a. GC's DM, who coordinates the legal staff's review and comment for the GC's concurrence on the directive when the signature package is forwarded for approval.
b. HCO's Labor Relations Officer, who coordinates a review by the national unions and local unions at the Centers. If new requirements will impact employees, the Labor Relations Officer will coordinate a 15-day review with the unions.
4.2.9 Signature Package for Agency-level Directives
4.2.9.1 After the union review is complete, the Responsible Office's DM shall load the current version of the directive in NODIS, assemble the signature package with the following documents printed from NODIS, and deliver it to the OES DMT by the suspense date:
a. The ADS to include the following:
(1) Evidence of concurrences from reviewing organizations and the concurrence of the responsible OIC.
(2) Administrator's Headquarters Action Tracking (HATS) ID (e.g., A/2015-00344).
(3) HATS due date.
(4) QCL's name, number, and date of review.
(5) Special Instructions (if any).
(6) DM's name and number.
b. ADS' Executive Summary to include the following:
(1) Purpose and justification for new requirement(s).
(2) Summary of significant changes, if directive is being revised.
(3) Summary of significant comments received during the review.
(4) Cost/benefit impacts for new resources that may be needed and a justification for why resources need to be expended to identify unfunded mandates. Unresolved proposed unfunded mandates are presented to the Quarterly Forums with Center Associate Directors.
(5) Strategic impact (if any).
(6) Description of Presidential initiative/external action (if any).
c. The original of the proposed (new or revised) directive.
d. A track changes version (i.e., redline) of the revised directive.
e. A copy of the directive's review report of all comments and dispositions.
f. Any additional documents that convey executive direction and supporting material (e.g., e-mails and/or verification matrices).
g. One copy of each directive to be cancelled by the proposed directive when it is approved.
h. Document disagreements from the IG in the Executive Summary of the NHQ 117 Form, Action Document Summary.
Note: See Table C-1 for assembly instructions and load directives in NODIS and print required documents for the signature package from the system in accordance with the instructions provided in the NODIS Manual.
4.2.9.2 The OES DMT will:
a. Verify the completeness of Agency-level directives' signature packages to ensure the following before routing it for final approval:
(1) All comments from Reviewing Offices are dispositioned and concurrences obtained.
(2) All required documentation listed in paragraphs 4.2.8.1a-g is assembled correctly.
(3) Disagreements with the IG are documented in the directive's signature package.
(4) Completed corrective actions on the directive's content and structure are not compromised.
Note: Center Responsible Offices use established Center instructions to assemble signature packages for Center-level directives.
4.2.10 Routing of the Signature Package
4.2.10.1 An NPD's or NPR's signature package is routed as follows for approval and publication:
a. Responsible Office's DM assembles the directive's signature package as described in paragraph 4.2.9.1 and submits it to the OES DMT.
b. The OES DMT reviews the directive as described in paragraph 4.2.9.2, submits the signature package to GC's DM, notifies all DMs and requests that they verify that comments that were agreed to at the time of concurrence were satisfactorily dispositioned, and submits the respective OIC's or CD's requests for reconsiderations, if any, directly to the Responsible Office's DM for disposition.
c. GC reviews the directive, coordinates final corrective actions directly with the Responsible Office's DM, concurs, and returns the signature package to the OES DMT.
d. The OES DMT retrieves the signature package from GC's DM, concurs, and submits it to the ES.
e. The ES conducts a quality review of the directive to verify compliance with NPR 1450.10 and coordinates corrective actions directly with Responsible Office's DM or QCL before forwarding the signature package to the Administrator's office.
f. Officials within the Administrator's office review and concur on the directive prior to the Administrator's, or designee's, approval. If corrective actions are needed, the ES will coordinate directly with the Responsible Office's DM or QCL. If corrective actions are not needed, the Administrator, or designee, will approve the directive and return the signature package to the ES.
Note: Each time a directive is updated throughout the routing of the signature package, the Responsible Office's DM loads the most recent version of it in NODIS.
g. The ES closes the corresponding HATS action and returns the signature package to the OES DMT.
h. The OES DMT publishes the directive in the NODIS Library and notifies all DMs.
4.3.1 Revalidating with administrative corrections - If a directive is due to expire, but the directive is current, necessary, and requires no changes, other than administrative corrections to typos, document citations, office or position titles, references, or substantive administrative corrections that do not add or change policy or requirements, it can be revalidated as follows:
a. The DM, with input from the respective Responsible Office, shall e-mail a revalidation request to the OES DMT with an electronic version of the directive showing redlines of the administrative changes.
b. The OES DMT will:
(1) Review the directive for compliance with this NPR and coordinate corrective actions with the DM.
(2) Send an e-mail to Agency DMs to provide notification of the intent to revalidate on an exception-only basis.
c. If there are no objections, the OES DMT approves the revalidation, updates the directive, summarizes the administrative changes in the directive's change log, and extends the expiration date for another five years.
d. If there are objections, the OES DMT determines whether the objections are valid and either approves the revalidation or requests that the directive be submitted for formal review and approval.
Note 1: Cost/benefit impacts are not required for revalidations.
Note 2: Revalidations will not be allowed on any directive that does not meet the content requirements in this NPR.
Note 3: The effective date and signature approval does not change when directives are revalidated.
4.3.2 Making Minor Changes - If the Responsible Office needs to make minor changes during the life cycle of the directive, the Responsible Office may submit a request for the minor changes, via e-mail to the OES DMT.
Note 1: Only the review of the OES DMT is needed to make administrative changes that do not change requirements. However, if the OES DMT determines that these changes change policy, requirements, or responsibilities, a limited review of the changes/corrections may be required.
Note 2: For Center-level directives, Center instructions apply.
4.4.1 For NIDs, the Responsible Office shall:
a. Secure written approval from the OIC and other approvals, as established within the local process for the proposed or revised interim directives (policy/requirement).
b. Document the urgent requirement for issuing an interim directive.
c. Submit the proposed or revised interim directive to the DM for processing.
4.4.2 The HQ DM shall:
a. Coordinate NIDs for a 2-week review via e-mail with DMs in CFO, CIO, CHCO, Procurement, IG, and NMO for concurrence.
b. Coordinate final drafts of NIDs with the DM in OGC for the legal review and the HCO Labor Relations Officer for the union review.
c. Submit NIDs, along with concurrences, to the OES DMT for publication.
Note: The HCO Labor Relations Officer may require a 30-day review to allow time for national and local unions' consultation.
4.4.3 OES DMT will publish NIDs in the NODIS Library.
4.4.4 For CIDs, Responsible Offices shall follow Center instructions for coordinating and publishing, to include satisfying the requirements to provide local union representatives with a consultation period.
Note: Consult the Center DM for issuing CIDs.
4.5.1 To publish Agency-level charters, the Responsible Office shall submit a hard and electronic copy of the charter with the chair's approval, along with concurrences from GC and the Office of the Executive Secretariat, Agency Governance Team, to OES DMT for publishing.
4.5.2 The OES DMT will publish charters in the NODIS Library.
4.5.3 Center-level charters are applicable to the issuing Center. To publish Center-level charters, contact the Center's DM.
4.6.1 When a Responsible Office determines that a NASA Plan, Manual, Technical Standard, Work Instruction, or Other Policy Document is useful, but not appropriate for inclusion as a directive, the Responsible Office may use hyperlinking to make the related documentation available through NODIS. See Appendix D for description of these document types.
a. For Agency-level directives, the Responsible Office shall coordinate this with the OES DMT.
b. For Center-level directives, the Responsible Office shall coordinate this with the Center's DM.
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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.