REG NASA NPD 1400 1 REV K-2011 Documentation and Promulgation of Internal NASA Requirements and Charters.pdf

1、| NODIS Library | Organization and Administration(1000s) | Search | NASAPolicyDirective NPD 1400.1KEffective Date: September 14, 2011Expiration Date: September 14, 2016COMPLIANCE IS MANDATORY Printable Format (PDF)(NASA Only) Subject: Documentation and Promulgation of Internal NASA Requirements and

2、ChartersResponsible Office: Office of Internal Controls and Management Systems1. POLICY a. It is NASAs policy to establish, document, and promulgate internal NASA requirements in order to communicate these requirements in a clear,efficient, and concise manner, and where necessary, to fulfill the Age

3、ncys vision, mission, and external mandates. (1) An internal NASA requirement is a statement of mandatory instructions, imposed by NASA, that a NASA employee or organization will performor a statement of form “and/or“ function that a piece of equipment or system will meet.(2) An internal NASA requir

4、ements document is any document used to record and communicate the internal requirements and responsibilitiesnecessary to fulfill the Agencys vision, mission, and external mandates.b. NASAs policy is to also establish charters to govern councils, boards, committees, panels, or working groups mandate

5、d by statute, the NASAAdministrator, or Officials-in-Charge of Headquarters Offices in order to make decisions for the Agency. c. It is NASAs policy that all internal NASA requirements documents are: (1) Developed and controlled by a documented process. (2) Clearly labeled as containing requirements

6、. (3) Available Agency wide to those who need them. (4) Verifiable for internal/external audits. (5) Current. (6) Traceable to governing documents. d. It is NASAs policy to review all Agency-level directives for cost/benefit impacts, as described in NPR 1400.1, NASA Directives and ChartersProcedural

7、 Requirements.e. It is NASAs policy that all internal NASA charters comply with the provisions of paragraphs 1a and 1c, excluding paragraphs 1c(2) and (4).f. When internal requirements are consistent with the purpose of an external requirement but meet or exceed those requirements, thereby makingint

8、ernal requirements more stringent, it is NASA policy that the internal NASA requirements apply. (See Attachment C for examples of externalrequirements).g. It is NASAs policy that NASA directives take precedence over all other internal NASA requirements. The flow and order of precedence forinternal N

9、ASA documents are described in Figure 1 of Attachment D. Attachment A provides the definition for the documents that constitute NASAdirectives.h. It is NASAs policy that internal NASA documents other than directives, such as the examples mentioned in Attachment C, becomerequirements when a directive

10、 specifies its use (by citing the documents title, revision letter/number, and date) or when a NASA manager withauthority over a NASA program, project, or other activity, identifies it as a requirement. 2. APPLICABILITY a. This NPD is applicable to NASA Headquarters and NASA Centers, including Compo

11、nent Facilities and Technical and Service Support Centers. b. This NPD is applicable to internal NASA requirements and charters developed or revised after the effective date of this NPD. c. In this NPD, all mandatory actions (i.e., requirements) are denoted by statements containing the term “shall.“

12、 The terms “may“ or “can“ denotediscretionary privilege or permission, “should“ denotes a good practice and is recommended, but not required, “will“ denotes expected outcome,and “are or is“ denote descriptive material. 3. AUTHORITYa. The National Aeronautics and Space Act, as amended, 51 U.S.C. 2011

13、3 b. Creation, Maintenance, and Use of Records, 41 C.F.R. pt.102-193. 4. APPLICABLE DOCUMENTSa. Inspector General Act of 1978, as amended, 5 U.S.C. app. b. NPD 1001.0, NASA Strategic Plan. c. NPR 1400.1, NASA Directives andCharters Procedural Requirements. 5. RESPONSIBILITYa. The Assistant Administr

14、ator for Internal Controls and Management Systems shall establish and maintain the requirements for documentationand promulgation of internal NASA requirements. b. Officials-in-Charge of Headquarters Offices and NASA Center Directors shall ensure that all internal NASA requirements documents develop

15、edunder their authority comply with the provisions of this NPD. Request Notification of ChangeNPD 1400.1K - main Verify Current version before use at:http:/nodis3.gsfc.nasa.gov/ Page 1 of 4 NPD 1400.1K - main Verify Current version before use at:http:/nodis3.gsfc.nasa.gov/ Page 1 of 4 Provided by IH

16、SNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-c. The NASA General Counsel (General Counsel for Agency-level directives; Chief Counsel for Center-level directives), or designee, shall reviewall directives and charters for legal propriety and provide comments duri

17、ng coordination and prior to the release of the document for use. d. The NASA Chief Financial Officer (Chief Financial Officer for Agency- level directives; Center Chief Financial Officer for Center-level directives)shall: 1) review all directives to ensure proper financial, resource (including budg

18、et, strategic planning, and performance), and acquisitionconsideration, and comment all directives during the coordination process; and 2) concur on all directives prior to signature by the approving NASAofficial. e. The Assistant Administrator for Human Capital Management (Human Capital Management

19、for Agency-level directives; Center HumanResources/Human Capital Management for Center-level directives) shall coordinate the review of all directives with the national/local offices ofFederal labor organizations in addition to conducting its own review and providing a concurrence on these documents

20、. f. The Assistant Administrator for Procurement (Procurement for Agency- level directives; Center Procurement/Acquisition for Center-leveldirectives) shall review and concur on all directives to determine acquisition impacts. g. The Inspector General, in accordance with the Inspector General Act of

21、 1978, 5 U.S.C. app. 4(a)(2), as amended, shall review and, asnecessary, comment on each Agency-level directive during the official review and approval process to identify its possible impact on effectivenessand efficiency in the administration and operations of NASA programs and preventing fraud, w

22、aste, and abuse in NASA programs. 6. DELEGATION OF AUTHORITYNone. 7. MEASUREMENTS a. The Office of Internal Controls and Management Systems shall measure compliance with this directive by: (1) Monitoring assessments, audits, and surveillance results from Officials-in-Charge of Headquarters Offices a

23、nd NASA Center Directors. (2) Monitoring whether issuance, cancellation, and revision of internal NASA requirements are being effectively disseminated. b. Officials-in-Charge of Headquarters Offices and Center Directors shall monitor, at an interval based on the level of risk to the Agency if theiro

24、rganizations internal NASA requirements, described in Attachment C, comply with the requirements in paragraph 1c by: (1) Ensuring that internal requirements are traceable to official policy or external authority. (2) Demonstrating that internal requirements are developed and controlled by a document

25、ed process as evidenced by an approved writtenprocedure on that process. (3) Demonstrating that internal requirement documents are clearly labeled as containing requirements. (4) Demonstrating that internal requirements are accessible to the people who use them as evidenced by having them Web-access

26、ible folder-accessible, or accessible by other means suitable to the intended audience. (5) Demonstrating that internal requirements are verifiable as evidenced by a stated or obvious method of proving compliance. (6) Demonstrating that internal requirements are current as evidenced by having an exp

27、iration date that has not passed and having a documentedaccount of periodic reviews to determine if content is up to date. 8. CANCELLATION NPD 1400.1J, Documentation and Promulgation of Internal NASA Requirements, dated March 3, 2005. /s/ Charles F. Bolden, Jr.Administrator ATTACHMENT A: Definitions

28、Agency-level directives are directives (e.g., NASA Policy Directives (NPD), NASA Procedural Requirements (NPR), and NASA Interim Directives(NID) with Agency-wide applicability). NPDs are policy statements that describe what is required by NASA management to achieve NASAs vision, mission, and externa

29、l mandates andwho is responsible for carrying out those requirements. An NPD may be referenced in one or more NPR, Center-level directives, or other internalrequirements. NPDs apply to NASA Headquarters and NASA Centers, including Component Facilities and Technical and Service Support Centers.The si

30、gnatory authority for NPDs is the NASA Administrator. NPRs provide the Agencys mandatory instructions and requirements to implement NASA policy as delineated in an associated NPD. All NPRsrelate to one of more NPDs. NPRs apply to NASA Headquarters and NASA Centers, including Component Facilities and

31、 Technical and ServiceSupport Centers. The signatory authority for NPRs is the Official-in-Charge (OIC) of the Headquarters Office originating the NPR (See NPD1000.3, The NASA Organization, paragraph 1.2.2) or the Administrator. However, prior to signature, NPRs are concurred on by designatedofficia

32、ls within the Office of the Administrator. NIDs provide an immediate, short-term statement of the Agencys policies and responsibilities for policy implementation. NIDs are issued with amandatory expiration date, not to exceed 12 months from the date of issuance, unless an extension is granted. NIDs

33、apply to NASA Headquartersand NASA Centers, including Component Facilities and Technical and Service Support Centers. The signature authorities for NIDs are determinedby the OIC of the Headquarters Office originating the NID and the Office of the Administrator. Center-level directives are directives

34、 (e.g., Center Policy Directives (CPD); Center Procedural Requirements (CPR); and Center Interim Directives(CID) with Center-specific applicability. CPDs define Center-specific policy requirements and responsibilities and comply with requirements delineated in associated NPDs or NPRs.CPDs apply only

35、 to the issuing Center and operations performed by NASA personnel at that Center. Center Directors, or designee (s), are thesignatory authority for CPDs. CPRs establish Center-specific procedural requirements and responsibilities to implement the policies defined in related NPDs, NPRs, or CPDs.CPRs

36、apply only to the issuing Center and operations performed by NASA personnel at that Center. Center Directors, or designee(s), are thesignatory authority for CPRs. CIDs provide an immediate, short-term statement of the Centers policies and responsibilities for policy implementation. CIDs are issued w

37、ith amandatory expiration date not to exceed 12 months from the date of issuance, unless an extension is granted. CIDs apply only to the issuingCenter and operations performed by NASA personnel at that Center. Center Directors, or designee(s), are the signatory authority for CIDs. NASA charters are

38、documents that govern councils, boards, committees, panels, and working groups established under the auspices of anAgency Governance Council. NPD 1400.1K - main Verify Current version before use at:http:/nodis3.gsfc.nasa.gov/ Page 2 of 4 NPD 1400.1K - main Verify Current version before use at:http:/

39、nodis3.gsfc.nasa.gov/ Page 2 of 4 Provided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-Agency Governance Council. NASA directives refer to both Agency-level and Center-level directives. ATTACHMENT B: ReferencesB.1 40 U.S.C. 11101 et seq., Clinger-Cohen Ac

40、t of 1996. B.2 44 U.S.C. 3501 et seq., the Paperwork Reduction Act of 1995, as amended. B.3 36 C.F.R. Chapter XII, Subchapter B, Records Management. B.4 OMB Circular A-119, Transmittal Memorandum, Federal Participation in the Development and Use of Voluntary Standards (02/10/1998). B.5 NPD 7120.4, N

41、ASA Engineering and Program/Project Management Policy. B.6 NPR 7120.10, Technical Standards for NASA Programs and Projects. ATTACHMENT C: Other Internal NASA DocumentsC.1 Internal NASA documents other than directives, such as the examples mentioned below, become requirements when a directive specifi

42、es itsuse (by citing the documents title, revision letter/number, and date) or when a NASA manager with authority over a NASA program, project, orother activity, identifies it as a requirement. The following are examples of other NASA internal documents: a. NASA Technical Standards. NASA technical s

43、tandards are NASA documents that contain common and repeated use of rules, conditions,guidelines, or characteristics for products or related processes and production methods and related management systems practices. NASAtechnical standards may contain the definition of terms; classification of compo

44、nents; delineation of procedures; specification of dimensions,materials, performance, designs, or operations; measurement of quality and quantity in describing materials, processes, products, systems,services, or practices; test methods and sampling procedures; or descriptions of fit and measurement

45、s of size or strength. Within NASA, the broadterm “standard“ may include the following specific document types: codes, guidebooks, handbooks, specifications, and standards.“ with “NASATechnical Standards Products. NASA technical standards products are NASA documents that contain common and repeated

46、use of rules,conditions, guidelines, or characteristics for products or related processes and production methods and related management systems practices.NASA technical standards products may contain the definition of terms; classification of components; delineation of procedures; specification ofdi

47、mensions, materials, performance, designs, or operations; measurement of quality and quantity in describing materials, processes, products,systems, services, or practices; test methods and sampling procedures; or descriptions of fit and measurements of size or strength. The term“NASA technical stand

48、ards products“ refers to technical standards, specifications, and handbooks developed and approved by NASAHeadquarters offices, assigned a prefix of “NASA-STD-,“ “NASA- SPEC-,“ or “NASA-HDBK-,“ respectively, to the unique document number.NASA may adopt standards developed outside NASA in lieu of dev

49、eloping a NASA directive or standard. These include standards developed byother United States Government agencies or other standards development organizations (See OPM Circular A-119 and NPR 7120.10). b. Plans. Plans are NASA documents that present goals, objectives, and operational details to guide users in achieving NASAs mission. NASAsplanning process starts with long-term vision and mission and flows to more focused near-term plans and documents. Appendix IV of NPD 1001.0,NASA Strategic Plan, descr