NASA Procedural Requirements

NPR 1400.1I Effective Date: November 01, 2024 Expiration Date: November 01, 2029

Subject: NASA Directives Procedural Requirements

Responsible Office: Chief of Staff

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

5.1 Requesting Cancellation of NASA Directives

5.1.1 A NASA directive can be canceled when the Responsible Office determines that it is no longer needed. To cancel a directive, the DM, with input from the Responsible Offices shall submit a written justification via e-mail to OES DMT to request cancellation of an Agency-level directive and copy DMs in organizations that have responsibilities described in directives slated for cancellation.

5.1.2 DMs for organizations assigned responsibilities in the directives shall identify any concerns they have with the cancellation within five business days of notification.

a. If no concerns are identified, and with concurrence from the OES Director, OES DMT cancels the directive and notifies all DMs.

b. If concerns are identified, the Responsible Offices works to address concerns and resubmits the request when they have been resolved.

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

5.1.3 The Responsible Office may provide a cancellation notice for inclusion in NODIS.

5.2 Requesting Extensions on Expiration or Suspension Dates

5.2.1 Extensions on Expiration Dates

5.2.1.1 For Agency-level directives published in the NODIS Library, the OES DMT notifies Responsible Offices when directives under their authority are approaching expiration as follows:

a. Monthly NODIS-generated e-mails notifying of directives scheduled to expire within the year.

b. Monthly memos from the OES Director to OICs notifying them of directives scheduled to expire six months prior to expiration, if no action is taken.

Note: If no response is received one month from the date on the memo, the OES Director will cancel the directive and remove it from the NODIS Library. Resubmission will require a full review.

5.2.1.2 In response to this notification, DMs, with input from the Responsible Office, shall request an extension via e-mail to the OES DMT to include a justification for the extension, explanation of when revisions are expected, and a summary of any association with audit recommendations or Council actions with their corresponding suspense dates.

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 evaluate the contents versus Agency plans and any relevant internal or external commitments and consult the Chief of Staff to determine whether revalidation, a NID, or expedited revision is required.

5.2.1.3 OES DMT will: a. Coordinate the extension request with ALT, AGT, and the OES Director for input to determine a realistic amount of time to meet suspense dates for associated audit recommendations and Council actions.

b. Extend the expiration date and notify the Responsible Office's DM what month to add the directive to the schedule for review so that revisions can be approved and published before the new expiration date and meet associated suspense dates.

5.2.2 Extensions on Suspense Dates

5.2.2.1 For draft Agency-level directives in coordination in the NODIS DMS, OES DMT notifies the Responsible Office's DM that a directive's package is due 10 days prior to the suspense date.

Note: Three 30-day extensions on suspense dates may be requested. If the third 30-day extension has lapsed, another extension may be requested via waiver for the number of days realistically needed. Directives that languish in coordination with no action taken will be withdrawn from review by the OES Director if extensions are not requested.

5.2.2.2 Extensions should only be requested to resolve issues with required concurrers. If a required concurrer does not respond in a timely way to the Responsible Office attempts to resolve the issue per 5.3 below and meet the established deadline, the Responsible Office should notify DMT immediately to escalate. See Appendix A for definitions for required concurrers, required reviewers, and courtesy reviewers.

5.2.2.3 Extensions should not be requested to disposition comments or resolve issues with required reviewers or courtesy reviewers. Responsible Offices are required to address these within the established review schedule.

5.2.2.4 To request extensions on suspense dates, DMs, with input from the Responsible Office, shall:

a. E-mail OES DMT 30-day extension requests before the suspense date for approval consideration.

(1) Approval authority for the first request is the OES DMT.

(2) Approval authority for the second and third requests is the OES Director.

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

5.3 Requesting Resolution of Impasses

5.3.1 Responsible Offices shall initiate resolution of impasses on an Agency-level directive at the end of the review period after all comments are dispositioned and when nonconcurrences and pending concurrences are identified by:

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

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

a. Attending the meeting with the DRO, opposing concurring organizations, and OES DMT if a resolution cannot be determined. At a minimum, the OIC (or designee), directive's originator, and DM attends the meeting with the DRO.

b. Include in their transmittal to the Office of the Administrator a summary of any risks identified by required reviewers which the Responsible Office recommends be accepted.

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

5.3.2 Concurring Offices shall:

a. Notify the Responsible Office when new proposed requirements are opposed.

b. Forward opposing arguments to the OES DMT for the OES Director's determination.

c. Limit the scope of their opposition to the specific directive under review, i.e., not subject to other actions or revisions of directives or OPDs.

d. Support timely resolution of the issue and participate in all meetings with the Responsible Office to come to an agreement on new proposed requirements.

e. Attend a meeting with the DRO, Responsible Office, and OES DMT if a resolution cannot be determined. At a minimum, the OIC (or designee), directive's originator, and DM attends the meeting with the DRO.

f. Designate 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.

5.3.3 Required Concurring Offices shall:

a. Focus their review on assessment of risks within their organization's sphere of responsibility to advise upon.

b. Clearly communicate, relative to language in the directive, the nature of the risk including its likelihood of realization and consequence if realized, to advise the Responsible Official and Office of the Administrator on management of the risk.

c. Work proactively with the Responsible Office to identify alternative language or approaches that would mitigate the risk while still accomplishing the intended outcome of the directive.

5.3.4 The OES Director, or OES DMT as delegated, shall assist and support the Chief of Staff as Agency-level DRO by:

a. Verifying that responsible and reviewing organizations met at least twice to resolve impasses and nonconcurrences.

b. Concurring Offices' opposing arguments and Responsible Offices' responses to determine a resolution, if meetings do not yield one.

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

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

e. Forwarding the Concurring 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 will notify the Responsible Office.

5.4.3 The accepting organization is responsible for requesting any needed administrative updates immediately upon transfer of the directive.

5.5 Requesting Relief 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 a request for waiver from requirements only if the following criteria is not comprised:

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 (e.g., 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 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 exist 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 Template

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.