NASA Procedural Requirements

NPR 1400.1H Effective Date: March 29, 2019 Expiration Date: December 31, 2024

Subject: NASA Directives and Charters Procedural Requirements (Updated w/Change 10)

Responsible Office: Office of the Chief of Staff

Chapter 5: Process Requirements for Requesting Directives Cancellations, Extensions, Resolutions, Waivers, and Transfers

5.1 Requesting Cancellation of NASA Directives and Charters

5.1.1 A NASA directive or charter can be cancelled when the Responsible Office or Chair determines that it served its purpose or is no longer needed. To cancel a directive or charter, the DM, with input from the Responsible Offices shall:

a. Submit a written justification via e-mail to the Office of the Executive Secretariat (OES), Directives Management Team (DMT) to request cancellation of an Agency-level directive.

b. Submit a written justification via e-mail to the OES DMT, with concurrence from the Chair and the Agency Council Staff, to request cancellation of a NASA charter.

Note: To cancel Center-level directives or charters, Responsible Offices should contact the Center DM for instructions.

5.2 Requesting Extensions on Expiration or Suspension Dates

5.2.1 The OES DMT notifies Responsible Offices when Agency-level directives under their authority are approaching expiration as follows:

a. Notifies DMs six months prior to expiration.

Note: The Director, OES, will be copied on this notification.

b. Notifies OICs two months prior to expiration, if no action is taken.

Note: If no response is received one month from the date on the memo, the Director, OES will be notified.

5.2.2 In response to this notification, DMs, with input from the Responsible Office, shall:

a. Request an extension via e-mail to the OES DMT if more time is needed for revisions with an explanation of when revisions are expected.

b. Revalidate or revise directives according to the requirements described in Chapters 3 and 4.

Note: One-year extensions can be requested twice on expiring directives. However, if the second one-year extension lapses, requests for a third one-year extension will not be granted. Instead, OES DMT will request that the directive be revalidated for another five years with minor administrative changes to bring the directive in compliance with NPR 1400.1.

5.2.3 For directives in coordination in the NODIS DMS, Responsible Offices may request up to three 30-day extensions on suspense dates. If the third 30-day extension has lapsed, the Responsible Office may request another extension via waiver for the amount of days that are realistically needed to publish the directive. Directives in coordination are tracked in the Headquarters Action Tracking System (HATS) and will appear overdue if submitted after the suspense date. Directives that languish in coordination with no action taken, may be withdrawn by the OES DMT if extensions are not requested. To request extensions on suspense dates, DMs, with input from the Responsible Office, shall:

a. E-mail OES DMT 30-day extension requests 10 days prior to the suspense date for approval consideration. Approval authority for the first request is the OES DMT. Approval authority for the second and third requests is the Director, OES.

b. If the third 30-day extension has lapsed, complete and e-mail OES DMT a waiver request approved by the respective Official-in-Charge for the Deputy Chief of Staff's approval consideration. See section 5.5 for requesting waivers.

5.3 Requesting Resolution of Impasses:

5.3.1 Responsible Offices for Agency-level directives shall initiate resolution of impasses by:

a. Meeting at least twice with reviewing organizations that oppose new proposed requirements in an effort to come to an agreement.

b. Forwarding responses to reviewing organizations' opposing arguments, as well as the updated directive to the OES DMT for mediation if meetings do not yield a resolution.

c. Attending the meeting with the DRO, along with the reviewing organizations if a resolution cannot be mediated. At a minimum, the OIC (or designee), directive's originator, and directives manager attends the meeting with the DRO.

d. Updating directives according to the DRO's decision on how the Agency's will govern the requirement.

5.3.2 Reviewing Offices shall:

a. Notify the Responsible Office when there are oppositions to new proposed requirements.

b. Forward opposing arguments to the OES DMT for mediation.

c. Participate in all meetings, as designated, to resolve impasses on requirements they oppose in order to provide opposing arguments to the Responsible Office, as well as the DRO, if impasses cannot be resolved. At a minimum, the OIC (or designee), directive's originator, and directives manager attend the meeting with the DRO.

5.3.3 Director, Office of the Executive Secretariat, shall assist and support the Deputy Administrator, or the designated senior official within the Office of the Administrator (Agency-level DRO), by:

a. Verifying that responsible and reviewing organizations meet at least twice in an effort to resolve impasses and nonconcurrences.

b. Reviewing Offices' opposing arguments and Responsible Offices' responses in an effort to mediate a resolution, if meetings do not yield one.

c. Scheduling and facilitating the meeting with the Agency DRO, Reviewing Offices, and the Responsible Offices if a resolution cannot be mediated.

d. Informing the Reviewing Offices and the Responsible Office of the meeting day, time, and location.

e. Forwarding the Reviewing Offices' opposing arguments, the Responsible Offices' response to those arguments, as well as the updated directive to the DRO prior to the meeting.

Note: For impasses on Center-level directives, local instructions apply.

5.4 Requesting Transfers of Directives

5.4.1 A directive may be transferred from one organization to another when functions described in the directive are also transferred. To transfer Agency-level directives, the DM, with input from the Responsible Office, shall send a memo from the OIC, with concurrence from the accepting organization's OIC, to the Director, Office of the Executive Secretariat.

5.4.2 The OES DMT will change the Responsible Office's information in NODIS once the Director, Office of the Executive Secretariat, approves the transfer and notify the Responsible Office.

5.5 Requesting Waivers from Requirements in NASA Directives

Note: NPD 1000.0 outlines the principles for establishing the proper set of requirements and for tailoring requirements, as needed. This paragraph discusses the implementation of these principles when requesting waivers from requirements described in Agency-level directives. For Center-level directives, local instructions apply.

5.5.1 Approval Authorities

5.5.1.1 Only the OIC who is responsible for the Agency-level directive or requirement is the approval authority for waiver requests.

Note: For complex waiver approval procedures, the Responsible OIC may cite another document in the directive.

5.5.1.2 The approval authority shall approve/disapprove a request for waiver from requirements based on the following criteria:

a. Requirements are not prohibited by external requirements.

b. Requirements do not present an undue risk to public health, safety, the environment, or personnel.

Note: If requirements present an undue risk, additional review and concurrence by other OICs is needed before approval.

c. Requirements are justified under the circumstances.

5.5.1.3 The approval authority shall only approve a request for waiver from requirements for a specific period or duration.

Note: The specific period or duration may be defined by calendar dates (i.e., From March 2006 to March 2008) or by project milestones (e.g., This waiver is in effect until disposal for XYZ Project).

5.5.1.4 The approval authority maintains a record of requests for waiver granted against Agency-level directives under their responsibility and should periodically review waivers to determine continued need.

5.5.2 NASA Headquarters organizations and NASA Centers requesting a waiver from requirements in Agency-level directives, shall document the following and submit it to the Responsible Office's DM for processing:

a. Identification of the requirement (directive and specific requirement(s)) for which the waiver is requested.

b. Scope (e.g., site, facility, operation, and/or activity) and duration of the request.

c. Justification, including:

(1) Purpose/Rationale.

(2) Whether application of the requirement in a particular circumstance described would conflict with another requirement.

(3) Whether application of the requirement in a particular circumstance would not achieve, or is not necessary to achieve, the underlying purpose of the requirement.

(4) Any other pertinent data or information related to the request (e.g., cost or schedule considerations).

(5) Identification and justification of the acceptance of any additional risk that will be incurred if the request is granted.

d. Address the following for request for waiver from environment, safety, health, and security requirements:

(1) A description of any special circumstances that warrant granting of the request, including whether:

(a) Application of the requirement in a particular circumstance would not be justified by any safety and health reason.

(b) Approving the request would result in a health and safety improvement that compensates for any detriment that would result from granting the request.

(c) There exists any other material circumstances not considered when the requirement was adopted for which it is in the public interest to grant the request.

(2) A description of any alternative or mitigating action that will be taken to ensure adequate safety and health and protection of the public, the workers, and the environment for the period the request will be effective.

e. Specific information called for in the requirements waiver sections of applicable NPRs and CPRs (e.g., NPR 7120.5).

5.5.3 To request a waiver from requirements contained in this directive, DMs, with input from the responsible office and on behalf of their OIC or CD, shall complete the Request for Waiver below and submit the approved waiver to the OES DMT. The waiver request may be tailored to request waivers from requirements described in other Agency-level or Center-level directives, only if these directives do not already have an established waiver process.

5.5.4 Requests for waivers from requirements in this directive will be reviewed by the OES DMT periodically to determine continued need.

Figure 5. Request for Waiver
(Download Fillable Form)

DISTRIBUTION:
NODIS

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.