![](media/image1.wmf){width="2.6in" height="2.1534722222222222in"}

Office of Headquarters Operations (HQ/Code C)

###### Office Work Instruction {#office-work-instruction .unnumbered}

Headquarters Policy Formulation and Approval

Approved by: [\_\_\_\_\_\_(Original signed by)\_\_]{.underline} Date
04[/17/2001]{.underline}

Michael D. Christensen

Associate Administrator for Office of Headquarters Operations

### DOCUMENT HISTORY LOG {#document-history-log .unnumbered}

+---------+--------+--------+-----------------------------------------+
| Status  | Do     | Eff    | Description                             |
|         | cument | ective |                                         |
| (Ba     |        |        |                                         |
| seline/ | Re     | Date   |                                         |
|         | vision |        |                                         |
| Re      |        |        |                                         |
| vision/ |        |        |                                         |
|         |        |        |                                         |
| Ca      |        |        |                                         |
| nceled) |        |        |                                         |
+---------+--------+--------+-----------------------------------------+
| B       |        | 12     |                                         |
| aseline |        | /10/99 |                                         |
+---------+--------+--------+-----------------------------------------+
| R       | A      | 5/5/00 | Changed NASA Logo                       |
| evision |        |        |                                         |
|         |        |        | Section 5 Changed 6.1 input to          |
|         |        |        | electronic format\                      |
|         |        |        | Section 7 Updated Retention/Disposition |
|         |        |        | & Quality Record names.                 |
+---------+--------+--------+-----------------------------------------+
| R       | B      | 10/2   | Section 5.0 -- FLOWCHART: Step 6.13,    |
| evision |        | 5/2000 | deleted "for AA's Approval" since the   |
|         |        |        | Approval Package is routed through any  |
|         |        |        | non-recurring reviewers, the Office of  |
|         |        |        | General Counsel, Code G, and the Office |
|         |        |        | of the Inspector General, Code W for    |
|         |        |        | final review/comments before Approval   |
|         |        |        | Package is sent to the AA for his/her   |
|         |        |        | approval.                               |
+---------+--------+--------+-----------------------------------------+
|         |        |        | Section 5.0 -- FLOWCHART: Added Step    |
|         |        |        | 6.14, to document the Decision that     |
|         |        |        | Approval Package is only sent to AA for |
|         |        |        | approval if Reviewers approve the       |
|         |        |        | package; otherwise the unapproved       |
|         |        |        | policy directive is returned to         |
|         |        |        | Requestor.                              |
+---------+--------+--------+-----------------------------------------+
|         |        |        | Section 5.0 -- FLOWCHART: renumbered    |
|         |        |        | step 6.14 to 6.16; step 6.16 to 6.17;   |
|         |        |        | step 6.17 to 6.18.                      |
+---------+--------+--------+-----------------------------------------+
|         |        |        | Section 6.0 -- PROCEDURE, Actionee Code |
|         |        |        | Rep.: Moved first paragraph to Code     |
|         |        |        | Rep. (Actionee) from Step 6.1 to        |
|         |        |        | accurately document process by which a  |
|         |        |        | draft proposed policy directive is      |
|         |        |        | initiated.                              |
+---------+--------+--------+-----------------------------------------+
|         |        |        | Section 6.0 -- PROCEDURE: In Step 6.7,  |
|         |        |        | deleted the words "on the Excel spread  |
|         |        |        | sheet" to reflect that the Tracking     |
|         |        |        | Outstanding File can be maintained      |
|         |        |        | using any appropriate software package. |
+---------+--------+--------+-----------------------------------------+
|         |        |        | Section 6.0 -- PROCEDURE: In Step 6.13, |
|         |        |        | in the first sentence, deleted "...for  |
|         |        |        | the Associate Administrator's           |
|         |        |        | signature. Added the second sentence    |
|         |        |        | which reads in part " The Approval      |
|         |        |        | Package is ........Inspector General,   |
|         |        |        | Code W.                                 |
+---------+--------+--------+-----------------------------------------+
|         |        |        | Section 6.0 -- PROCEDURE: Added Step    |
|         |        |        | 6.14, "Reviewers Approve Package?" to   |
|         |        |        | reflect decision that Approval Package  |
|         |        |        | is forwarded to AA for approval (Step   |
|         |        |        | 6.16) if the Reviewers approve the      |
|         |        |        | package; otherwise unapproved policy    |
|         |        |        | directive is returned to Requestor with |
|         |        |        | guidance for revision.                  |
+---------+--------+--------+-----------------------------------------+
|         |        |        | Section 6.0 -- PROCEDURE: Step 6.15 was |
|         |        |        | revised to read "Return unapproved      |
|         |        |        | policy directive to the requestor with  |
|         |        |        | guidance for revisions" rather than     |
|         |        |        | "Return unapproved policy directive     |
|         |        |        | from the AA's office to the requestor   |
|         |        |        | with guidance. (Note: This change was   |
|         |        |        | made to reflect that the unapproved     |
|         |        |        | policy directive may result from        |
|         |        |        | disapproval by either the Reviewers or  |
|         |        |        | the AA).                                |
|         |        |        |                                         |
|         |        |        | Section 6.0: PROCEDURE: Step 6.16 was   |
|         |        |        | renumbered to Step 6.17; and step 6.17  |
|         |        |        | was renumbered to step 6.18             |
+---------+--------+--------+-----------------------------------------+
| R       | C      | 4/1    | Sec. 4.7 Delete NHB 1101.3, "The NASA   |
| evision |        | 7/2001 | Organization Handbook" and replace with |
|         |        |        | NPG 1000.3, "The NASA Organization."    |
|         |        |        |                                         |
|         |        |        | Sec 4.8 Change the title of NPG 1400.1  |
|         |        |        | to read , "NASA Directives System       |
|         |        |        | Procedures and Guidelines."             |
+---------+--------+--------+-----------------------------------------+

#  PURPOSE

This Headquarters Office Work Instruction (HQOWI) is to establish and
define the responsibilities and procedures for processing Headquarters
directives, such as, Headquarters Policy Directives (HQPD's),
Headquarters Policy Guides HQPG's), and Headquarters Policy Charters
(HQPC's).

# SCOPE and APPLICABILITY

2.1 This HQOWI covers the process required to document and approve
Headquarters Directives for all Headquarters organizations.

2.  The Headquarters Facilities and Security Management Division within
    the Office of Headquarters Operations, Code C, is responsible for
    maintaining and implementing this document.

# DEFINITIONS

  ------ --------------------------- -----------------------------------------------------
  3.1    [AA]{.underline}.           The Associate Administrator for Headquarters
                                     Operations has overall management responsibility for
                                     Headquarters Directives.

  3.2    [ADS]{.underline}.          Action Document Summary, NASA Form 117 - Form for all
                                     single letter codes to concur on the NASA On-line
                                     Directives Information System (NODIS).

  3.3    [AO]{.underline}.           Action Officer -- The individual who prepares draft
                                     HQPDs, HQPGs, or HQPCs and submits them for
                                     processing.

  3.4    [Cancellation               The date that cancels out a directive.
         Date]{.underline}.          

  3.5    [CN]{.underline}.           A cancellation notice cancels out a list of obsolete
                                     directives.

  3.6    [Code CO]{.underline}.      The designation for the Headquarters Facilities and
                                     Security Management Division, Office of Headquarters
                                     Operations.

  3.7    [Determination of Signature All HQPC's, HQPD's, and HQPG's will be signed by the
         Authority]{.underline}.     Associate Administrator for Headquarters Operations,
                                     except those under the purview of the Office of Human
                                     Resources and Education, Code F. Signature authority
                                     for HQPG's will not extend below the
                                     Officials-in-Charge level. (Referenced in NPG
                                     1441.1C).

  3.8    [Directives]{.underline}.   NASA Headquarters documents, including HQPDs, HQPGs,
                                     and HQPCs maintained on NODIS.

  3.9    [DD]{.underline}.           Division Director -- The individual who reviews and
                                     recommends concurrence/non-concurrence on external
                                     directives to the Associate Administrator for Code C.

  3.10   [Effective and Expiration   The Headquarters Directives Manager assigns effective
         Dates]{.underline}.         and expiration dates. The effective date of a
                                     directive is the date the NASA official signs the
                                     directive. HQPD's and HQPG's will bear an expiration
                                     date that is 5 years from the effective date of the
                                     directive. HQPC's will bear an expiration date that
                                     is 2-years from the effective date of the directive.
                                     (Referenced in HQHB 1410.3 and NPG 1441.1C).

  3.11   [Gender-Neutral             Directives will use gender-neutral language as
         Text]{.underline}.          mandated by Executive Order 12336.

  3.12   [General                    NASA General Counsel is responsible for reviewing for
         Counsel]{.underline}.       legal propriety and concurring on all directives
                                     during the coordination and clearance process. Legal
                                     review and concurrence take place prior to signature
                                     by the Associate Administrator for Headquarters
                                     Operations Branch.
  ------ --------------------------- -----------------------------------------------------

  ------ -------------------------- -----------------------------------------------------
  3.13   [HDM]{.underline}.         Headquarters Directives Manager (HDM), Code CO, is
                                    the point of contact in Headquarters for all matters
                                    dealing with and pertaining to operations. The HDM
                                    ensures directives are prepared and coordinated in
                                    accordance with prescribed requirements and assists
                                    and supports Officials-in-Charge of Headquarters
                                    Offices (OIC's) with directive activities and issues
                                    related to Headquarters directives

         The HDM is responsible for 
         the following activities:  

         3.13.1                     Ensuring that Headquarters directives are necessary,
                                    properly prepared and coordinated; are editorially
                                    correct with emphasis on brevity and clarity; and,
                                    when the resource impact is significant, that
                                    appropriate cost/benefit considerations have been
                                    weighed.

         3.13.2                     Conducting periodic reviews of the Headquarters
                                    Directives and elements thereof, identifying
                                    problems, and recommending changes and improvements.

         3.13.3                     Ensuring that appropriate clearances are sought
                                    regarding approval of new or revised Headquarters
                                    directives from those with a need to concur.

         3.13.4                     Monitoring, tracking, and following up on all
                                    Headquarters directives until they are put on NODIS.

         3.13.5                     Ensuring availability, file maintenance, printing,
                                    and distribution of Headquarters directives

  3.14   [HQPC's]{.underline}.      Headquarters Policy Charters - are charters of
                                    councils, committees, working groups, task teams,
                                    etc., that are mandated by statute or by the NASA
                                    Administrator. HQPC's describe the need for
                                    establishing the charter. They provide the purpose,
                                    function, responsibilities, duration of the charter,
                                    and membership. Unless otherwise fixed by statute or
                                    presidential directive, HQPC's terminate within 2
                                    years from the effective date of establishment. If
                                    the Administrator or designee determines that the
                                    charter must remain beyond that time, a revised HQPC
                                    may be processed and issued for a subsequent 2-year
                                    period. HQPC's are limited to no more than four pages
                                    and may have an attachment for the membership lists.
                                    (Referenced in HQHB 1410.3)

  3.15   [HQPD's]{.underline}.      Headquarters Policy Directives -- are used to
                                    establish and implement organizational
                                    responsibilities, Delegations of Authority, and
                                    Headquarters policy of a continuing nature. HQPD's
                                    replaced Headquarters Management Instruction
                                    (HQMI's), and describe "what" is required by
                                    Headquarters management for achieving NASA's vision
                                    and mission as depicted in the NASA Strategic Plan.
                                    HQPD\'s are limited to no more than four pages and
                                    may have an attachment for metrics or graphic
                                    displays for measuring the degrees of compliance with
                                    the policy statement. They are effective until
                                    superseded or canceled. (Referenced in HQHB 1410.3)

  3.16   [HQPG's]{.underline}.      Headquarters Policy Guides -- provides specific,
                                    detailed instructions and procedures guidelines for
                                    implementing Headquarters policy. They replaced
                                    Headquarters handbooks (HQHB's), and describe the
                                    detailed "how to" instructions and procedures
                                    considered essential for accomplishing the
                                    deliverable requirements established by the HQMI's.
                                    (Referenced in HQHB 1410.3)

  3.17   [Inspector                 In accordance with Public Law 95-452, Section 4(a)
         General]{.underline}.      (2), the Inspector General is responsible for
                                    reviewing and concurring on all directives during the
                                    coordination process. Review is for the impact on
                                    economy and efficiency in the administration and
                                    operations of NASA programs and to prevent and detect
                                    fraud and abuse in NASA programs.

  3.18   [Code JM]{.underline}.     The designation for the Management Assessment
                                    Division, Office of Management Systems.

  3.19   [Labor Relations           Located in the Headquarters Human Resources
         Officer.]{.underline}      Management Division, is responsible for reviewing and
                                    concurring on all directives during the coordination
                                    process to ensure coordination with local and
                                    national offices of Federal labor organizations.

  3.20   [NHQ Form 26 - Routing     A form to control routing actions through Division
         Slip]{.underline}.         Directors for their initials.

  3.21   [NHQ Form 117 -- Action    See ADS.
         Document Summary           
         (ADS)]{.underline}.        

  3.22   [NHQ Form 184 -- NASA      The starting point on NODIS to begin building new or
         Directive Request          revised policy directive.
         Summary]{.underline}.      

  3.23   [NODIS]{.underline}.       NASA Online Directives Information System (NODIS) -
                                    is an internet application used for archiving NASA
                                    directives and for automating the coordination/
                                    clearance process. Approved NASA directives will be
                                    maintained in the NODIS Directives Library, enabling
                                    users to retrieve, view, and print NASA directives
                                    electronically.

  3.24   [Numbering and             Consist of letters identifying the type of directive
         Format]{.underline}.       followed by a 4-digit subject-classification number,
                                    a decimal point, and a consecutive number. A letter
                                    following the consecutive number constitutes a unique
                                    number used only for that directive. The
                                    subject-classification list is provided in NPG 1441.1
                                    and HQHB 1410.3.

  3.25   [Office of Policy and      The Associate Administrator for Policy and Plans, as
         Plans]{.underline}.        NASA's focal point for agency wide policy issues, is
                                    responsible for reviewing and concurring on all
                                    directives during the coordination process.

  3.26   [OIC]{.underline}.         Officials-in-Charge of Headquarters Offices (OIC's)
                                    are responsible for:\
                                    a). determining the need for a directive,\
                                    b). assigning the action to create or revise a
                                    directive to members of his/her staff,\
                                    c). presenting directives at the Directives Review
                                    Meetings,\
                                    d). securing appropriate coordination and approval
                                    signatures on directives, and e.) canceling
                                    directives when they have served their purpose and
                                    are no longer needed or when they are consolidated
                                    into or with other directives.

  3.27   [Plain                     All Headquarters directives will be written in plain
         English]{.underline}.      language as directed in the President's Memorandum
                                    for the Heads of Executive Department and Agencies,
                                    dated June 1, 1998, Subject: Plain Language in
                                    Government Writing.

  3.28   [QCL]{.underline}.         Quality Control Liaison -- The person reviewing draft
                                    documents to ensure final document conforms with the
                                    Printing Office Manual and NASA Correspondence
                                    Management Standards.

  3.29   [Requester.]{.underline}   The Requester is the originator who prepares a
                                    proposed policy directive.
  ------ -------------------------- -----------------------------------------------------

#  REFERENCE DOCUMENTS

+----+---------------------+-------------------------------------------+
| 4  | Executive Order     | The Task Force on Legal Equity for Women  |
| .1 | 12336               |                                           |
+----+---------------------+-------------------------------------------+
| 4  | HQHB 1410.3         | NASA Headquarters Management Directives   |
| .2 |                     | System Handbook                           |
+----+---------------------+-------------------------------------------+
| 4  | HQMI 1400.1         | Processing Headquarters Directives        |
| .3 |                     |                                           |
+----+---------------------+-------------------------------------------+
| 4  | HQPG 1590.1         | Headquarters Operations Services Guide    |
| .4 |                     |                                           |
+----+---------------------+-------------------------------------------+
| 4  | NPD 1000.1          | NASA Strategic Plan                       |
| .5 |                     |                                           |
+----+---------------------+-------------------------------------------+
| 4  | NPG 1000.2          | NASA Strategic Management Handbook        |
| .6 |                     |                                           |
+----+---------------------+-------------------------------------------+
| 4  | NPG 1000.3          | The NASA Organization                     |
| .7 |                     |                                           |
+----+---------------------+-------------------------------------------+
| 4  | NPG 1400.1          | NASA Directives System Procedures and     |
| .8 |                     | Guidelines                                |
+----+---------------------+-------------------------------------------+
| 4  | NPG 1441.1          | NASA Records Retention Schedules          |
| .9 |                     |                                           |
|    |                     | President's Memorandum for the Heads of   |
|    |                     | Executive Department and Agencies: Plain  |
|    |                     | Language in Government Writing            |
+----+---------------------+-------------------------------------------+

The correct version of the HQMI, HQPG, NHB, NPG documents cited above
may be obtained from the NODIS Directives Library at
<http://nodis.hq.nasa.gov/Library/processes.html>

# FLOWCHART

![](media/image1.wmf)

#  {#section .unnumbered}

# 6.0 PROCEDURE {#procedure .unnumbered}

+----+----------+------------------------------------------------------+
| St | Actionee | Action                                               |
| ep |          |                                                      |
+====+==========+======================================================+
|    | Code     | Any Headquarters office recognizing a need for       |
|    | Rep.     | guidance or establishing Headquarters policy and     |
|    |          | responsibilities on a matter essential for effective |
|    |          | and efficient operations may request the cognizant   |
|    |          | office to initiate a directive on the matter.        |
|    |          | (Referenced in HQHB 1410.3). The cognizant office    |
|    |          | prepares a draft of the proposed policy directive    |
|    |          | and submits it to the Headquarters Directive         |
|    |          | Manager, Code CO along with an electronic copy (i.e. |
|    |          | disk, e-mail attachment).                            |
|    |          |                                                      |
|    |          | (On occasion the originating office may prepare the  |
|    |          | NASA Form 117 and 184 and forward them to the        |
|    |          | Headquarters Directives Manager; the Directives      |
|    |          | Manager initials the NASA Form 117 and forwards on   |
|    |          | for further concurrence).                            |
+----+----------+------------------------------------------------------+
| 6  | Head     | Review the proposed draft policy directive for       |
| .1 | quarters | clarity, editorial format and style, using HQHB      |
|    | Di       | 1410.3 standard.                                     |
|    | rectives |                                                      |
|    | Manager  |                                                      |
|    | (HDM)    |                                                      |
+----+----------+------------------------------------------------------+
| 6  |          | Is the draft acceptable? If no, proceed to 6.3. If   |
| .2 |          | yes, proceed to 6.5                                  |
+----+----------+------------------------------------------------------+
| 6  | HDM      | Return draft policy directive to submitting office   |
| .3 |          | with recommendations to help correct policy for      |
|    |          | approval.                                            |
+----+----------+------------------------------------------------------+
| 6  | HDM      | Receive the revised draft policy from the Requester, |
| .4 |          | proof read and review it again for clarity and       |
|    |          | editorial style.                                     |
+----+----------+------------------------------------------------------+
| 6  | HDM      | Prepares the comment package once the draft is       |
| .5 |          | acceptable, which consists of NHQ 117, Action        |
|    |          | Document Summary and NHQ 184, NASA Directive Request |
|    |          | Summary, previous policy (if it is a revised copy)   |
|    |          | and a covered routing slip.                          |
+----+----------+------------------------------------------------------+
| 6  | HDM      | Sends the draft policy directive for comment to the  |
| .6 |          | following offices: CO/Division Director,             |
|    |          | CP/Labor-Relations Officer, G/General Counsel,       |
|    |          | JM/Directives Management System, W/Inspector         |
|    |          | General, and Z/Office of Policy and Plans, and       |
|    |          | whomever this particular document applies to for     |
|    |          | concurrence.                                         |
+----+----------+------------------------------------------------------+
| 6  | HDM      | Tracks the suspense dates, and keeps a file of the   |
| .7 |          | outstanding directives.                              |
+----+----------+------------------------------------------------------+
| 6  | HDM      | Are all responses received and assembled; signed     |
| .8 |          | forms117 and 184? If no, proceed to 6.9. If yes,     |
|    |          | proceed to 6.10                                      |
+----+----------+------------------------------------------------------+
| 6  | HDM      | Contact the unresponsive offices by telephone or     |
| .9 |          | e-mail if the HDM has not received the NHQ 117 and   |
|    |          | NHQ 184 by the due date.                             |
+----+----------+------------------------------------------------------+
| 6. | HDM      | Receive and assess comments and transmit to          |
| 10 |          | originating office, incorporating them into the      |
|    |          | policy directive.                                    |
+----+----------+------------------------------------------------------+
| 6. |          | Does office have comments? If no, proceed to 6.12.   |
| 11 |          | If yes proceed back to step 6.10                     |
+----+----------+------------------------------------------------------+
| 6. | HDM      | Collect the designated signatures on From NHQ 117    |
| 12 |          | and the process continues.                           |
+----+----------+------------------------------------------------------+
| 6. | HDM      | Receives, reviews and assembles the directive for    |
| 13 |          | the approval package. The Approval Package is        |
|    |          | assembled by the Headquarters Directives Manager and |
|    |          | routed through any nonconcurring reviewers, the      |
|    |          | Office of the General Counsel, Code G, and the       |
|    |          | Office of the Inspector General, Code W.             |
+----+----------+------------------------------------------------------+
| 6. |          | Reviewing approve package? If no, proceed to step    |
| 14 |          | 6.15. If yes, Approval Package is forwarded to       |
|    |          | Associate Administrator for approval, step 6.16.     |
+----+----------+------------------------------------------------------+
| 6. | HDM      | Return unapproved policy directive to the requester  |
| 15 |          | with guidance for revisions.                         |
+----+----------+------------------------------------------------------+
| 6. | HDM      | Associate Administrator (AA) approves the package?   |
| 16 |          | If yes, he or she signs it, proceed to step 6.17. If |
|    |          | no, proceed back to step 6.15.                       |
+----+----------+------------------------------------------------------+
| 6. | HDM      | Picks up the signed hard copy directive and          |
| 17 |          | corrected disk from AA's office once it has been     |
|    |          | approved.                                            |
+----+----------+------------------------------------------------------+
| 6. |          | To Code JM for processing directive and disk on      |
| 18 |          | NODIS electronic system.                             |
+----+----------+------------------------------------------------------+

#   {#section-1 .unnumbered}

#  QUALITY RECORDS

  --------------- ------- ----------- ------------ ---------- ----------------------
  Record ID       Owner   Loca-tion   Media        Schedule   Retention/ Disposition
                                                   Number and 
                                                   Item       
                                                   Number     

  Routing Slip    CO      HDM         Hardcopy     Schedule   Destroy when
  (NF 26)                                          1, Item    superseded, obsolete,
                                                   12.B.2     no longer needed

  Code C --       CO      HDM         Hardcopy     Schedule   Destroy when
  Concurrence ADS                                  1, Item    superseded, obsolete,
  (NHQ 117) (For                                   12.B.2     no longer needed
  external                                                    
  reviews)                                                    

  NASA Action     CO      HDM         Hardcopy     Schedule   Destroy when
  Document                                         1, Item    superseded, obsolete,
  Summary, (NHQ                                    12.B.2     no longer needed
  117)                                                        

  HQ Directive    CO      HDM         Hardcopy     Schedule   Destroy when
  Request                                          1, Item    superseded, obsolete,
  Summary, (NHQ                                    12.B.2     no longer needed
  184)                                                        

  Draft Policy    CO      HDM         Hardcopy     Schedule   Transfer background
  (For external                                    1, Item    and related material
  reviews)                                         72.C       to level issuance
                                                              office.

  Previous Policy         HDM         Hardcopy     Schedule   Permanent retire to
                                                   1, Item    Federal Records Center
                                                   72.B.1     5 years after
                                                              cancellation or when
                                                              superseded

  Track           CO      HDM         Electronic   Schedule   Destroy when
  Outstanding                                      1, Item    superseded, obsolete,
  File                                             72.B       no longer needed

  Consolidated    CO      HDM         Hardcopy     Schedule   Destroy when
  Comments (For                                    1, Item    superseded, obsolete,
  external                                         12.B.2     no longer needed
  reviews)                                                    

  Final Draft     CO      HDM         Hardcopy     Schedule   Destroy when
  Policy                                           1, Item    superseded, obsolete,
                                                   12.B.2     no longer needed

  Signed Policy   CO      HDM         Hardcopy     Schedule   Permanent Retire to
                                                   1, Item    FRC 5 years after
                                                   72.B.1     cancellation or when
                                                              superseded
  --------------- ------- ----------- ------------ ---------- ----------------------