![](media/image1.wmf){width="2.05in" height="1.6979166666666667in"}

**Office of Management Systems**

### Office Work Instruction

**Policy Formulation Process**

Original Approved by:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Jeffrey E. Sutton

Associate Administrator, Office of Management Systems

# DOCUMENT HISTORY LOG

+---------+--------+--------+-----------------------------------------+
| Status  | Do     | Eff    | Description                             |
|         | cument | ective |                                         |
| (Ba     |        |        |                                         |
| seline/ | Re     | Date   |                                         |
|         | vision |        |                                         |
| Re      |        |        |                                         |
| vision/ |        |        |                                         |
|         |        |        |                                         |
| Ca      |        |        |                                         |
| nceled) |        |        |                                         |
+---------+--------+--------+-----------------------------------------+
| B       |        | 12     |                                         |
| aseline |        | /06/99 |                                         |
+---------+--------+--------+-----------------------------------------+
| R       | A      | 04     | Revisions reflect review of HQOWIs to   |
| evision |        | /26/00 | address Pre-Assessment Audit of Feb     |
|         |        |        | 2000, as follows: (1) Correct technical |
|         |        |        | errors in flowchart, (2) Revise steps   |
|         |        |        | in section 6 to improve congruence with |
|         |        |        | the flow chart.                         |
+---------+--------+--------+-----------------------------------------+
|         |        |        |                                         |
+---------+--------+--------+-----------------------------------------+
|         |        |        |                                         |
+---------+--------+--------+-----------------------------------------+
|         |        |        |                                         |
+---------+--------+--------+-----------------------------------------+

1.  Purpose

The purpose of this procedure is to describe the steps of formulating
and approving Code J directives.

2.  Scope and Applicability

This OWI covers: Code J sponsored Policy Directives (NPD's), NASA
Procedures and Guidelines (NPG's), Charters, and interim policy guidance
requiring approval by the Associate Administrator for Management Systems
or the Administrator. The process for formal review and approval of
directives is done in accordance with NPG 1400.1.

3.  Definitions

+-----+----------------------------------------------------------------+
| 1   | [Charters]{.underline}. Documentation for Code J sponsored     |
| .   | Agency-level Councils, Boards, and Committees are incorporated |
|     | into the NPG 1000.3, The Organization Manual.                  |
+-----+----------------------------------------------------------------+
| 2   | [Code J AA.]{.underline} Associate Administrator for           |
| .   | Management Systems.                                            |
+-----+----------------------------------------------------------------+
| 3   | [Code JM.]{.underline} The Management Assessment Division,     |
| .   | Office of Management Systems.                                  |
+-----+----------------------------------------------------------------+
| 4   | [Directives Manager.]{.underline} The Code J designated        |
| .   | Directives Manager.                                            |
+-----+----------------------------------------------------------------+
| 5   | [Director.]{.underline} Division or office director reporting  |
| .   | to the Code J AA.                                              |
+-----+----------------------------------------------------------------+
| 6   | [DMS.]{.underline} Directives Management System within NODIS.  |
| .   |                                                                |
+-----+----------------------------------------------------------------+
| 7   | [Interim Policy.]{.underline} Policy Statements meeting the    |
| .   | requirements of NPG 1400.1, section 3.3.3.                     |
+-----+----------------------------------------------------------------+
| 8   | [NODIS.]{.underline} NASA On-line Directives Information       |
| .   | System. Provides a management system for directives in the     |
|     | review and concurrence cycle and a library of approved,        |
|     | in-effect directives.                                          |
+-----+----------------------------------------------------------------+
| 9   | [NPD.]{.underline} NASA Policy Directive. Establishes          |
| .   | Agency-level policy.                                           |
+-----+----------------------------------------------------------------+
| 1   | [NPG.]{.underline} NASA Procedures and Guidelines. Establishes |
| 0.  | Agency-level processes, procedures, and guidance.              |
+-----+----------------------------------------------------------------+
| 1   | [Originator.]{.underline} Code J employee(s) (subject matter   |
| 1.  | expert) assigned the responsibility to identify the need for,  |
|     | recommend action, and to draft, revise, and ensure policy is   |
|     | appropriately reviewed.                                        |
+-----+----------------------------------------------------------------+
| 1   | [Policy.]{.underline} Statements of policy, procedure, process |
| 2.  | or charter incorporated into NPD's, NPG's or Charters.         |
+-----+----------------------------------------------------------------+

4.  References

  ----- ---------------- -------------------------------------------------
  4.1   NPD 1400.1       NASA Directives System

  4.2   NPG 1000.3       The Organization Manual

  4.3   NPG 1400.1       NASA Directives System Procedures and Guidelines
  ----- ---------------- -------------------------------------------------

5.  Flowchart

6.  Procedure

+------+------------+-------------------------------------------------+
| ## S | #          | ## Action                                       |
| tep  | # Actionee |                                                 |
+======+============+=================================================+
| 6.1  | Originator | Assess the need for new or revised policy based |
|      |            | on internal or external requirements, Code J    |
|      | Director   | staff recommendations, and existing policy.     |
|      |            |                                                 |
|      |            | Discuss with Director.                          |
|      |            |                                                 |
|      |            | Determine whether new or revised policy is      |
|      |            | needed based on originator input.               |
+------+------------+-------------------------------------------------+
| 6.2  | Director   | *Is new or revised policy needed?* If yes,      |
|      |            | proceed to step 6.3. If no, process stops.      |
+------+------------+-------------------------------------------------+
| 6.3  | O          | Determine requirement and develop criteria.     |
|      | riginator, |                                                 |
|      |            | a\. Tailor the development of a policy position |
|      | Director   | to the circumstances of each identified need    |
|      |            | for new or revised policy. Consider the         |
|      |            | following factors:                              |
|      |            |                                                 |
|      |            | i.  an analysis of existing policy;             |
|      |            |                                                 |
|      |            | ii. range of alternatives;                      |
|      |            |                                                 |
|      |            | iii. prior involvement of customers and         |
|      |            |      stakeholders;                              |
|      |            |                                                 |
|      |            | iv. whether the policy will be developed by an  |
|      |            |     individual, Division/Office team, teaming   |
|      |            |     with other affected Headquarters and/or     |
|      |            |     Center parties;                             |
|      |            |                                                 |
|      |            | v.  extent of and mechanism for review by       |
|      |            |     customers and stakeholders on proposed      |
|      |            |     policy prior to approval by Code J AA.      |
|      |            |                                                 |
|      |            | b\. Gap analyses and formal project plans       |
|      |            | approved by the Originator's Director are       |
|      |            | optional, as determined by the Director.        |
|      |            |                                                 |
|      |            | c\. Criteria for adequacy to pursue developing  |
|      |            | a policy include: providing reasonable          |
|      |            | assurance of legal sufficiency; customer and    |
|      |            | stakeholder opportunity for review and comment; |
|      |            | consideration of information and                |
|      |            | recommendations developed prior to and during   |
|      |            | the drafting of policy; and identification of   |
|      |            | significant issues related to the new or        |
|      |            | revised policy that provide a basis for the     |
|      |            | Director and Code J AA to make decisions on     |
|      |            | draft policies or make recommendations to the   |
|      |            | Administrator for decision.                     |
|      |            |                                                 |
|      |            | d\. The Director shall determine, for each      |
|      |            | policy, the extent to which a written approach  |
|      |            | is required and whether Director approval of    |
|      |            | the approach is necessary. If an approved       |
|      |            | approach is required, it will be considered a   |
|      |            | working document rather than a quality record.  |
|      |            |                                                 |
|      |            | Determine whether the policy will be            |
|      |            | incorporated in a new or revised policy         |
|      |            | directive or if it meets the criteria           |
|      |            | (established in NPG 1400.1) and will be issued  |
|      |            | as interim policy.                              |
+------+------------+-------------------------------------------------+
| 6.4  | O          | *Directive or interim policy required?* If the  |
|      | riginator, | policy will be issued as an interim policy      |
|      |            | memorandum, go to step 6.4.1 and follow the     |
|      | Director   | interim policy sub-process. If it will be       |
|      |            | incorporated in a new or revised NPD or NPG go  |
|      |            | to step 6.5                                     |
+------+------------+-------------------------------------------------+
| 6.5  | Originator | Prepare draft policy statement.                 |
|      |            |                                                 |
|      |            | a\. The development of a draft policy statement |
|      |            | is an iterative process including consultation  |
|      |            | and review with customers and stakeholders, as  |
|      |            | necessary.                                      |
|      |            |                                                 |
|      |            | b\. Comments on various draft policy statements |
|      |            | should be dispositioned and significant issues  |
|      |            | should be identified.                           |
|      |            |                                                 |
|      |            | c\. The draft policy statement should be sent   |
|      |            | to the Director with appropriate working papers |
|      |            | alerting the Director to potential issues.      |
|      |            |                                                 |
|      |            | d\. The Originator's draft policy statement     |
|      |            | together with the working papers will be a      |
|      |            | Division/Office-level document.                 |
+------+------------+-------------------------------------------------+
| 6.6  | Director,  | The Originator's Director and Directives        |
|      |            | Manager review the draft policy statement and   |
|      | Directives | working papers for sufficiency (see criteria in |
|      | Manager    | step 6.3) and other requirements established in |
|      |            | NPG 1400.1. The Director is reviewing for       |
|      |            | substance; the Directives Manager is reviewing  |
|      |            | for conformance with NPG 1400.1.                |
+------+------------+-------------------------------------------------+
| 6.7  | O          | When the Director approves the draft policy     |
|      | riginator, | statement, the Originator will work with the    |
|      |            | Directives Manager to complete a Form 184 in    |
|      | Directives | the NODIS DMS and load the draft policy         |
|      | Manager    | statement into the DMS for Code J               |
|      |            | Director-level review. After entry into NODIS,  |
|      |            | the policy takes the form of a draft directive. |
+------+------------+-------------------------------------------------+
|      | Directors  | Each Director will review, or have staff        |
|      |            | review, the draft directive and comment to the  |
|      |            | Originator within NODIS. Concurrence is         |
|      |            | recorded on the associated Form 184.            |
+------+------------+-------------------------------------------------+
| 6.8  | Originator | *Approved*? If the directors concur without     |
|      |            | comment, go to Step 6.10. If comments are       |
|      |            | provided, go to Step 6.9.                       |
+------+------------+-------------------------------------------------+
| 6.9  | Originator | Disposition review comments. Return to Step 6.7 |
|      |            | to obtain concurrence.                          |
+------+------------+-------------------------------------------------+
| 6.10 | Originator | Submit draft directive to the AA for approval.  |
+------+------------+-------------------------------------------------+
|      | AA         | Review draft directive. If approved, sign the   |
|      |            | Form 184 and initiate external review of the    |
|      |            | directive. If not approved, provide comments to |
|      |            | originator.                                     |
+------+------------+-------------------------------------------------+
| 6.11 | Directives | *Approved for external coordination?* If        |
|      | Manager    | further change is needed, return to Originator  |
|      |            | with directions at Step 6.12. If approved, go   |
|      |            | to step 6.13.                                   |
+------+------------+-------------------------------------------------+
| 6.12 | O          | Incorporate AA's comments. Review with          |
|      | riginator, | Director. No review by other Directors is       |
|      | Director   | needed. Repeat review with AA in step 6.10.     |
+------+------------+-------------------------------------------------+
| 6.13 | Directives | Enter AA-approved Directive into NODIS and      |
|      | Manager    | initiate external coordination. Follow the      |
|      |            | NODIS coordination process as established by    |
|      |            | NPG 1400.1.                                     |
+------+------------+-------------------------------------------------+
| 6.14 | Originator | a\. Disposition all comments received from      |
|      |            | reviewing offices via the NODIS DMS.            |
|      |            |                                                 |
|      |            | b\. For disagreements on significant            |
|      |            | substantive issues, attempt reconciliation. If  |
|      |            | agreement cannot be reached, develop a position |
|      |            | paper for review by approving official.         |
|      |            |                                                 |
|      |            | c\. Significant revisions of substantive issues |
|      |            | may require additional opportunities for        |
|      |            | re-review.                                      |
+------+------------+-------------------------------------------------+
| 6.15 | O          | Support final coordination and approval of      |
|      | riginator, | directive when Agency-level review is complete: |
|      | Directives |                                                 |
|      | Manager,   | a\. develop the final signature package as      |
|      |            | defined in NPG 1400.1. Signature package is     |
|      | Quality    | submitted to Code JM.                           |
|      | Control    |                                                 |
|      | Liaison    | b\. Revise final signature package as necessary |
|      |            | based on reviews by the Office of General       |
|      |            | Counsel and the Headquarters Correspondence     |
|      |            | Management Office.                              |
|      |            |                                                 |
|      |            | c\. Directives Manager coordinates development  |
|      |            | and clearance of the signature package.         |
|      |            |                                                 |
|      |            | d\. Quality Control Liaison checks signature    |
|      |            | package before it goes out of Code J.           |
|      |            |                                                 |
|      |            | e\. NPD's cleared through the NODIS process are |
|      |            | signed by the Administrator.                    |
|      |            |                                                 |
|      |            | f\. NPG's cleared through the NODIS process are |
|      |            | signed by the AA and returned to Code JM for    |
|      |            | entry into the NODIS Library.                   |
+------+------------+-------------------------------------------------+
| 6.16 | Directives | Directives Manager receives confirmation that   |
|      | Manager    | signed directive has been placed in the NODIS   |
|      |            | library and Code JM is retaining the final      |
|      |            | signature package. The final signature package  |
|      |            | includes the signed original versions of the    |
|      |            | directives. For a list of Code J and other      |
|      |            | NPD's and NPG's, go to:                         |
|      |            | [http:                                          |
|      |            | //nodis.hq.nasa.gov](http://nodis.hq.nasa.gov/) |
+------+------------+-------------------------------------------------+

**Interim Policy Formulation Sub-Process**

+------+------------+-------------------------------------------------+
| ## S | #          | ## Action                                       |
| tep  | # Actionee |                                                 |
+======+============+=================================================+
| 6    | Originator | Prepare draft interim policy.                   |
| .4.1 |            |                                                 |
|      |            | a\. The development of a draft interim policy   |
|      |            | memorandum is an iterative process to meet the  |
|      |            | criteria set forth in step 6.3.c. However,      |
|      |            | since timeliness is a factor, the consultative  |
|      |            | process may be eliminated or reduced.           |
|      |            |                                                 |
|      |            | b\. Rather than formally dispositioning         |
|      |            | comments, the Originator should prepare a       |
|      |            | memorandum identifying significant issues and   |
|      |            | options considered in resolving such issues.    |
|      |            |                                                 |
|      |            | c\. The Originator's draft interim policy       |
|      |            | memorandum together with the working papers     |
|      |            | will be a Division-level document.              |
+------+------------+-------------------------------------------------+
| 6    | Director,  | Review draft within division.                   |
| .4.2 | Originator |                                                 |
|      |            | a\. Review is against criteria set forth in     |
|      |            | step 6.3(c).                                    |
|      |            |                                                 |
|      |            | b\. The Director may determine customers,       |
|      |            | stakeholders, or others who should pre-review   |
|      |            | the interim policy and provide them an          |
|      |            | opportunity to review and comment. While this   |
|      |            | procedure is optional, it will provide a basis  |
|      |            | for support by the General Counsel and AA. The  |
|      |            | Director briefs the AA before submission to the |
|      |            | Office of General Counsel (Code G). Forward to  |
|      |            | Code G for concurrence.                         |
+------+------------+-------------------------------------------------+
| 6    | Originator | Coordinate with Code G. Ensure that Code G's    |
| .4.3 |            | review comments are dispositioned and           |
|      |            | coordinate with offices that the Code G         |
|      |            | requests review the draft interim policy before |
|      |            | adoption.                                       |
+------+------------+-------------------------------------------------+
| 6    | Originator | If Code G requests review by other offices, go  |
| .4.4 |            | to Step 6.4.5. If no further external review,   |
|      |            | go to Step 6.4.6.                               |
+------+------------+-------------------------------------------------+
| 6    | Originator | Obtain comments from other offices, as          |
| .4.5 |            | requested by Code G.                            |
+------+------------+-------------------------------------------------+
| 6    | Originator | Revise draft interim policy memorandum to       |
| .4.6 |            | disposition comments from reviewing offices.    |
|      |            | Submit to Director for review.                  |
+------+------------+-------------------------------------------------+
|      | Director   | Review to ensure that recommended changes to    |
|      |            | the draft interim policy have been fully        |
|      |            | dispositioned and the draft is ready for AA     |
|      |            | review and approval. Include evidence of Code   |
|      |            | G's concurrence in forwarding to AA. Submit to  |
|      |            | Code J AA for approval.                         |
+------+------------+-------------------------------------------------+
| 6    | AA         | Review and approve interim policy memorandum.   |
| .4.7 |            | The AA review is based on the draft interim     |
|      |            | policy memorandum as approved by the Director   |
|      |            | after all comments received have been fully     |
|      |            | dispositioned. If approved, sign the memorandum |
|      |            | and provide to Directives Manager. If not       |
|      |            | approved, provide comments to Originator. The   |
|      |            | AA may also request additional external review  |
|      |            | and comment.                                    |
|      |            |                                                 |
|      |            | **NOTE**: The AA has sole authority to approve  |
|      |            | an Interim Policy Memorandum. The authority may |
|      |            | not be delegated below the AA. The policy can   |
|      |            | remain in effect for up to six months in        |
|      |            | accordance with NPG 1400.1. When interim policy |
|      |            | expires, it may not be extended.                |
+------+------------+-------------------------------------------------+
| 6    | AA         | If the AA approves, go to step 6.4.10. If not,  |
| .4.8 |            | go to step 6.4.9.                               |
+------+------------+-------------------------------------------------+
| 6    | O          | Disposition AA's comments and/or seek further   |
| .4.9 | riginator, | external comment.                               |
|      | Director   |                                                 |
+------+------------+-------------------------------------------------+
| 6.   | Originator | Distribute approved interim policy memorandum.  |
| 4.10 |            | File signed original in Division/Office files.  |
|      |            | Send electronic copy of memorandum to NODIS     |
|      |            | Systems Manager (in Code JM) for filing and     |
|      |            | inclusion in the NODIS library. The Interim     |
|      |            | Policy Memorandum remains in effect until       |
|      |            | expiration or notification of rescission.       |
+------+------------+-------------------------------------------------+

7.  Quality Records

+-------------+------+-------+----------+-----------+----------------+
| [Record     | [Ow  | [L    | [Record  | [Schedule | [Retent        |
| Ident       | ner] | ocati | Media:   | Number &  | ion/Dispositio |
| ification]{ | {.un | on]{. | El       | Item      | n]{.underline} |
| .underline} | derl | under | ectronic | Number    |                |
|             | ine} | line} | or Hard  | (NPG      |                |
|             |      |       | C        | 14        |                |
|             |      |       | opy]{.un | 41.1)]{.u |                |
|             |      |       | derline} | nderline} |                |
+-------------+------+-------+----------+-----------+----------------+
| Draft       | Code | NODIS | El       | Schedule  | ##             |
| Directive   | JM   | Doc   | ectronic | 2, 2400,  | ### If paper r |
|             |      | ument |          | Item 13A  | ecords exist,  |
|             |      | Ma    |          |           | and the electr |
|             |      | nage- |          |           | onic media rep |
|             |      |       |          |           | resents a dupl |
|             |      | ment  |          |           | ication, relea |
|             |      | S     |          |           | se media for r |
|             |      | ystem |          |           | euse not later |
|             |      |       |          |           |  than 30 days  |
|             |      |       |          |           | after the need |
|             |      |       |          |           |  for it has be |
|             |      |       |          |           | en met and tha |
|             |      |       |          |           | t it will not  |
|             |      |       |          |           | be required fo |
|             |      |       |          |           | r further use. |
+-------------+------+-------+----------+-----------+----------------+
| Form 184    | Code | NODIS | El       | Schedule  | ##             |
|             | JM   | Doc   | ectronic | 2, 2400,  | ### If paper r |
|             |      | ument |          | Item 13A  | ecords exist,  |
|             |      | Ma    |          |           | and the electr |
|             |      | nage- |          |           | onic media rep |
|             |      |       |          |           | resents a dupl |
|             |      | ment  |          |           | ication, relea |
|             |      | S     |          |           | se media for r |
|             |      | ystem |          |           | euse not later |
|             |      |       |          |           |  than 30 days  |
|             |      |       |          |           | after the need |
|             |      |       |          |           |  for it has be |
|             |      |       |          |           | en met and tha |
|             |      |       |          |           | t it will not  |
|             |      |       |          |           | be required fo |
|             |      |       |          |           | r further use. |
+-------------+------+-------+----------+-----------+----------------+
| Signature   | Code | Code  | Hard     | Schedule  | ###            |
| Package     | JM   | JM    | Copy     | 1, 1410,  | ## Permanent;  |
|             |      |       |          | Item 72A  | retire to FRC  |
|             |      |       |          |           | 1 year after b |
|             |      |       |          |           | ecoming obsole |
|             |      |       |          |           | te or supersed |
|             |      |       |          |           | ed. Transfer t |
|             |      |       |          |           | o NARA in 5-ye |
|             |      |       |          |           | ar blocks when |
|             |      |       |          |           |  20 years old. |
+-------------+------+-------+----------+-----------+----------------+
| Signed      | Dire | Divi  | Hard     | Schedule  | ###            |
| Interim     | ctor | sion/ | Copy     | 1, 1410,  | ## Permanent;  |
| Policy      | of   | O     |          | Item 72A  | retire to FRC  |
| Memorandum  | Div  | ffice |          |           | 1 year after b |
|             | isio | Files |          |           | ecoming obsole |
|             | n/Of |       |          |           | te or supersed |
|             | fice |       |          |           | ed. Transfer t |
|             | w    |       |          |           | o NARA in 5-ye |
|             | hich |       |          |           | ar blocks when |
|             | or   |       |          |           |  20 years old. |
|             | igin |       |          |           |                |
|             | ated |       |          |           |                |
|             | the  |       |          |           |                |
|             | memo |       |          |           |                |
+-------------+------+-------+----------+-----------+----------------+