Procedural
Requirements
Effective Date: November 01, 2024
Expiration Date: November 01, 2029
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NASA Procedural Requirements |
NPR 1400.1I Effective Date: November 01, 2024 Expiration Date: November 01, 2029 |
| | TOC | Preface | Chapter1 | Chapter2 | Chapter3 | Chapter4 | Chapter5 | AppendixA | AppendixB | AppendixC | AppendixD | ALL | |
The Administrator, or the designated senior official within the Office of the Administrator, approves all NPDs and NPRs prior to publication.
The Deputy Administrator, or the designated senior official within the Office of the Administrator 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.
2.4.1 The Chief of Staff has overall responsibility for the NASA Directives System in accordance with this directive and clearance procedures for directives in accordance with NPR 1450.10, Office of the Administrator Correspondence, Actions, and Clearance Procedural Requirements. The Chief of Staff:
a. Serves as the Directives Resolution Official (DRO) in consultation with appropriate Office of the Administrator principals 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.
2.5.1 The OES Director, or designee, implements and maintains the NASA Directives System and establishes and enforces the policies in NPD 1400.1 and the requirements in this directive. The OES Director, or designee, shall:
a. Verify compliance with the requirements contained in this directive by:
(1) Monitoring the processing of each Agency-level directive through NODIS and the subsequent clearance process to ensure that all process steps and requirements of this directive 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, necessary required concurrers, required reviewers, and courtesy reviewers are selected, and the corresponding clearance package to verify completeness before submitting it for approval. See Verification Matrix Tables C-1, C-2, and C-3 in Appendix C.
b. Maintain document control for Agency-level directives through maintenance of the NODIS library, the NODIS database, and signed approval packages.
c. Monitor identified conflicts among internal requirements, including directives, and assist and support the Agency-level DRO (Chief of Staff) in resolving impasses or directing remedy from responsible organizations. See process requirements in Chapter 5.
d. Identify dependencies between directive revisions and other external or internal suspense dates for Agency commitments such as Executive Orders, Agency Governance Council actions, audit corrective actions, or other, and recommend to the Chief of Staff appropriate disposition of extension or revalidation requests.
e. Train and assist DMs and directives originators in the performance of their duties.
f. Maintain Agency-level directives electronic case files to include all the coordinating material and the Approving Official's clearance package. Disposes of all official files associated with approved Agency-level directives in accordance with NRRS 1441.1, NASA Records Retention Schedules. See Item #01/072.0.A of the NRRS and paragraphs 4.2.9.1b-h of this directive for a list of official files.
g. Review requests for waiver from requirements in this directive to determine if justifications warrant the Chief of Staff’s approval or approve on behalf of the Chief of Staff using the process requirements described in Chapter 5.
h. Assume concurrences for Concurring Offices and Centers that do not respond by established suspense dates for draft directives.
i. Cancel published directives when responsible offices do not respond to notifications requesting intent to revalidate or revise directives 30 days before expiration to ensure that directives remain effective for ongoing operations.
j. Determine, in consultation with the Responsible Office, whether a directive change constitutes an administrative change or a full revision.
2.6.1 OICs of Headquarters Offices have overall responsibility for directives issued by offices within their respective organization.
2.6.2 In managing their offices’ directives, OICs, or designees, are responsible for:
a. Determining the Agency's need for establishing new Agency-level directives within their spheres of responsibility as defined in NPD 1000.3, Chapter 4.
b. Ensuring that policy or procedural requirement formulation is performed by NASA civil servants.
c. 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.
d. Approving their respective organization's NIDs for publication after the review is complete.
e. Ensuring that Agency-level directives under their responsibility are reviewed for continuing need, applicability, accuracy, and consistency with other NASA directives at least once every five years.
f. Canceling Agency-level directives under their responsibility when they are no longer needed in accordance with process requirements described in Chapter 5.
g. Ensuring that responsibilities within their own organization, and within affected organizations, are clearly described in Agency-level directives under their responsibility.
h. Designating a DM to manage (e.g., assist, guide, plan, and monitor) their organization's directives activities.
i. Evaluating and dispositioning all requests for relief 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 that directives under their responsibility do not conflict with or replicate material provided in other Agency-level directives or external requirements.
k. Prior to expiration, notifying OES of the organization’s intent to cancel, revalidate or revise expiring directives. This notification may either be proactive and direct or in response to expiring directives notifications and should be made sufficiently in advance to accomplish any related revalidation or revision without additional extension.
l. Ensuring that Responsible Offices within their organization, 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 in addition to:
(1) Consulting the Office of Procurement prior to formal review when new or revised requirements directed toward contractors so impacts to acquisition law or regulation requirements and their proper incorporation in NASA’s procurement guidance can be determined.
(2) Consulting an attorney within the Office of the General Counsel (OGC) prior to formal review when there may be other legal or ethical impacts related to a directive.
(3) Consulting the Office of the Chief Human Capital Officer (OCHCO) prior to formal review when directives place requirements or constraints on the terms of employment for all employees which may warrant labor union consideration.
(4) 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 1: 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.
Note 2: An NPD should not be created solely for the purpose of authorizing an NPR, without including a meaningful statement of policy. In such cases, the NPD should include requirements per paragraph 3.1.1.
(5) Recommending the required concurrers, required reviewers, and courtesy reviews for their draft directives. These categories are defined in Appendix A.
(6) 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)).
(7) Resolving impasses with opposing organizations according to the process requirements described in Chapter 5.
(8) 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.
(9) Submitting, in coordination with their DM, clearance packages to OES, DMT by the established suspense dates. See paragraph 4.2.10.1 for clearance package routing.
(10) Requesting extensions on suspense dates on draft directives in review or extensions on expiration dates on published directives using the requirements in Chapter 5.
2.6.3 In supporting the directives review process, OICs, or designees, are responsible for:
a. Supporting the DMT in advising which Agency-level directives their organization should review during the official review and approval process.
b. Considering relevant subject-matter experts or stakeholders within their organizations included during any pre-review when assigning review responsibilities, to minimize duplicative or conflicting review, and ensuring distribution of the proposed directive to relevant subject-matter experts or stakeholders in time to adjudicate and resolve conflicts and submit final comments.
c. Ensuring that reviewers within their organization participate in the review and concurrence process for directives and adhere to deadlines in accordance with the requirements described in Chapter 4.
d. Integrating, consolidating, deconflicting, and endorsing comments provided by their respective organization's reviewers.
e. Confirming with OES, DMT, when concurrence can be assumed for Concurring Offices that do not respond by the suspense date.
2.6.4 When identified as a required concurrer, OICs, or designees, are further responsible for:
a. Notifying Responsible Offices when they oppose proposed new requirements in accordance with the process requirements for resolving impasses described in Chapter 5.
b. Providing executive leadership to respond in a timely and effective way to attempts by the Responsible Office to resolve impasses and to support required suspense dates.
c. Determining a concurrence decision based on this process by required suspense dates. Concurrence decisions are defined in Appendix A.
2.7.1 CDs, or designees, are responsible for:
a. Ensuring compliance with Agency-level directives and 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.
2.7.2 In managing their Center directives, CDs, or designees, are responsible for:
a. Determining the Center's need for establishing, revising, or canceling a Center-level directive to ensure successful and repeatable local business operations.
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.
b. Approving Center-level directives.
2.7.3 In supporting the Agency directives review process, CDs, or designees, are responsible for:
a. Considering relevant subject-matter experts or stakeholders within their organizations included during any pre-review when assigning review responsibilities, to minimize duplicative or conflicting review, and ensuring distribution of the proposed directive to relevant subject-matter experts or stakeholders in time to adjudicate and resolve conflicts and submit final comments.
b. For certain mission support functions managed at an enterprise level, considering whether relevant subject- matter experts or stakeholders review was conducted prior to formal review by the HQ Responsible Office and not providing duplicative or conflicting review during the formal review process.
c. Ensuring that relevant subject-matter experts or stakeholders within their Centers:
(1) Participate in the review and concurrence process, when appropriate, for Agency-level directives and adhere to the review process deadlines in accordance with the process requirements described in Chapter 4.
(2) Submit final comments that reflect the Center's position through coordination with relevant subject-matter experts and stakeholders, including Center management.
d. Integrating, consolidating, deconflicting, and endorsing comments provided by Center organizations’ reviewers.
2.7.4 When designated as a required concurrer, CDs, or designees, are further responsible for:
a. Notifying Responsible Offices when they oppose proposed new, modified, or canceled requirements.
b. Providing executive leadership to respond in a timely and effective way to attempts by the Responsible Office to resolve impasses, and to support required suspense.
c. Designating a representative who is technically knowledgeable and can provide the leadership to support a withheld concurrence and respond to the Responsible Office’s attempts to resolve impasses within established timelines.
d. Determining a concurrence decision based on this process by required suspense dates. Concurrence decisions are defined in Appendix A.
2.8.1 The GC, or designee, is responsible for:
a. Reviewing and commenting on all draft Agency-level directives for compliance with the law.
b. Confirming that authorities, applicable documents, and references cited in Agency-level directives are formatted correctly, per paragraph 3.3.2.
c. Reviewing, commenting, and concurring, by established suspense dates, on all final drafts of Agency-level directives prior to approval by the NASA Administrator, or designee.
The IG, or designee, 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 and informing the Responsible Office if the directive applies to the OIG. For additional information, see 5 United States Code (U.S.C.) App. § 4(a)(2).
The CFO, or designee, is responsible for reviewing, commenting, and concurring on all Agency-level directives to identify concerns regarding financial, resource, acquisition, and other financial management impacts.
2.11.1 Chief Human Capital Officer (CHCO), or designee, is responsible for:
a. Determining which Agency-level directives involve a substantive change in conditions of employment of NASA employees that require national 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. 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.
b. Providing notification of the directive to individual Center CHCOs that have the presence of a union that has obtained exclusive recognition for representation of bargaining unit employees. The Center CHCO will review and determine whether the new or revised directives trigger union notification and local labor obligations. Center HCOs are responsible for meeting statutory and contractual obligations regarding implementation.
The AA for Procurement, or designee, is responsible for reviewing all Agency-level directives to identify concerns regarding compliance with acquisition law and requirements and follow-up actions needed for NASA procurement guidance and forms.
The CIO, or designee, is responsible for reviewing and commenting on all Agency-level directives to identify concerns with 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, Controlled 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, or designee, is responsible for reviewing and concurring on all Agency-level directives that cite applicability to JPL (an FFRDC).
The DMT assists the OES Director, with implementing and managing all directives activities, processes, and requirements as described in paragraph 2.5.1a-h and Chapters 3-5. When delegated, the Team is authorized to approve and execute actions to ensure that directives remain in place for ongoing operations and draft directives are published within established timelines. See paragraphs 2.5f-h.
The OES 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 OES AGT is responsible for coordinating with DMT to consider Agency Governance Council action suspense dates when considering directives extension or revalidation requests.
The OES ALT is responsible for coordinating with DMT to consider Government Accountability Office (GAO) and IG audit corrective action suspense dates when considering directives extension or revalidation requests.
2.19.1 DMs are contractor and civil service points of contact in each Headquarters organization, NASA Center, and NOJMO 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 directive. Specifically, DMs:
a. Manage the directives process at their location.
b. Assist employees with accessing draft and published directives, including forwarding all notifications from OES DMT announcing publication of new, revised, revalidated, and updated directives or when these documents are canceled.
c. Assist directives authors within their organizations with the directives review and publication process.
d. Participate in DM meetings and trainings to remain aware of changes in the NASA directives process and NODIS.
2.19.2 In managing the organization’s directives, DMs:
a. Monitor their organization’s directives expiration dates and initiate internal planning to ensure directives are reviewed, revalidated, extended, or canceled prior to their expiration date.
b. Communicate to the DMT their organization’s intent to review, revalidate, or cancel directives when notified of approaching expiration dates in accordance with requirements described in Chapters 4 and 5.
c. 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.
d. Expedite corrective actions on Agency-level directives from OES findings and ensure most current version of a directive is loaded in NODIS.
2.19.3 In managing review of the organization’s directives, DMs:
a. Monitor review milestone suspense dates per Chapter 4 and ensure that all suspense dates are met.
b. Coordinate with directives originators to ensure that their directives meet the requirements of this directive and that cost/benefit impact information to implement new/revised requirements is provided prior to submitting Agency-level draft directives for review in NODIS.
c. Coordinate quality reviews of directives prior to initial submission and after final review/revision to ensure that they are grammatically sound.
d. Document and initiate resolution of conflicts among directives that are identified or reported.
Note: Requirements for conflict resolution for Agency-level directives are provided in Chapter 5.
e. In coordination with the ALR, record GAO and IG audit recommendations that request revisions to directives on the NHQ 184 Form.
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.
f. In coordination with the Responsible Office, summarize internal/external mandates that require revisions to directives on the NHQ 184 Form.
g. Submit extension requests for their organization draft directives in coordination to DMT in accordance with requirements described in Chapter 5.
2.19.4 In supporting the review process for other offices’ directives, DMs:
a. Coordinate the official review of draft directives at their location, ensuring that all required suspense dates are met.
b. Determine, with input from the OIC or CD (or designee) and in consideration of any relevant subject-matter experts or stakeholders who were included in pre-review, who should review directives.
c. Enter the OIC’s and CD’s concurrence decision on Agency-level directives in NODIS.
d. Consolidate reviewers' comments for the official response and provide reviewers with dispositions of comments provided by the Responsible Office.
2.19.5 In addition to the responsibilities listed in paragraphs 2.19.1a-d and 2.19.4a-d, 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 originators 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 in accordance with NPR 1441.1.
2.19.6 The NOJMO DM is responsible for adhering to paragraphs 2.19.1a-d and 2.19.4a-d.
Note: Policy or procedural requirement coordination can be done by a NASA civil servant or a NASA contractor.
ALRs coordinate within their organizations or Centers, and with OES DMT and ALT, to help ensure that audit corrective actions implemented through directives updates are accomplished by the corrective action completion date commitment to auditors.
| TOC | Preface | Chapter1 | Chapter2 | Chapter3 | Chapter4 | Chapter5 | AppendixA | AppendixB | AppendixC | AppendixD | 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.