Office of Legislative Affairs

Office Work Instruction

Responding to Congressional Correspondence

Original Approved by:
s/\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Ed Heffernan

Associate Administrator

Office of Legislative Affairs

# DOCUMENT HISTORY LOG

+---------+--------+--------+-----------------------------------------+
| Status  | Do     | Eff    | Description                             |
|         | cument | ective |                                         |
| (Ba     |        |        |                                         |
| seline/ | Re     | Date   |                                         |
|         | vision |        |                                         |
| Re      |        |        |                                         |
| vision/ |        |        |                                         |
|         |        |        |                                         |
| Ca      |        |        |                                         |
| nceled) |        |        |                                         |
+---------+--------+--------+-----------------------------------------+
| B       |        | 12/1   | *.*                                     |
| aseline |        | 0/1999 |                                         |
+---------+--------+--------+-----------------------------------------+
| R       | A      | 5/1    | Place Quality Records in proper         |
| evision |        | 0/2000 | location on flow chart; correct         |
|         |        |        | typographical errors; better define     |
|         |        |        | disposition of comments.                |
+---------+--------+--------+-----------------------------------------+
| R       | B      | 8/     | Update document to reflect results of   |
| evision |        | 3/2000 | the ISO Scope Expansion Audit. Adjust   |
|         |        |        | review and decision data, quality       |
|         |        |        | records and add more specific words     |
|         |        |        | about workmanship acceptance criteria.  |
+---------+--------+--------+-----------------------------------------+
| Admin.  | B      | 8/2    | Appendix C was changed to streamline    |
| change  |        | 4/2000 | the form.                               |
+---------+--------+--------+-----------------------------------------+
|         |        |        |                                         |
+---------+--------+--------+-----------------------------------------+
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|         |        |        |                                         |
+---------+--------+--------+-----------------------------------------+
|         |        |        |                                         |
+---------+--------+--------+-----------------------------------------+

1.  **Purpose**

> The purpose of this procedure is to document the process for
> responding to written inquiries from Members of Congress.

2.  **Scope and Applicability**

    1.  This OWI covers the process by which the NASA Headquarters
        Office of Legislative Affairs (Code L) ensures that written
        correspondence from Members of Congress receive written
        responses which are well prepared and reflect NASA policy. The
        scope of this OWI applies to all correspondence from Congress,
        regardless of to whom it is addressed, with the exceptions noted
        in NPG 1450.4, Handling Congressional Correspondence and
        Information Concerning Congressional Activities. It does not
        include requests for materials resulting from attendance of NASA
        officials at Congressional hearings (See HQOWI1311-L004, "Post
        Hearing Activities"). It also does not include correspondence
        sent to and from the NASA Office of the Inspector General.

3.  **Definitions**

    1.  [AA:]{.underline} Associate Administrator (Office of Legislative
        Affairs)

    2.  [ADS:]{.underline} Action Document Summary (NHQ Form 117)

    3.  [AO:]{.underline} Action Officer

    4.  [Case File:]{.underline} File which includes all documents
        pertinent to a case. These are not necessarily all quality
        records for purposes of this OWI.

    5.  [CC:]{.underline} Correspondence Clerk (Position Description is
        Program Support Assistant )

    6.  [Code B:]{.underline} Office of the Comptroller

    7.  [Code CIC:]{.underline} Headquarters Correspondence Management
        Office

    8.  [Code L :]{.underline} NASA Office of Legislative Affairs

    9.  [Code LB:]{.underline} Liaison Division

    10. [Code LD:]{.underline} Congressional Inquiries Division

    11. [Code LD Log:]{.underline} Log kept by Code LD secretary in
        which she records when a letter is sent to the AA for signature
        and when response is mailed out (Appendix D)

    12. [DMS:]{.underline} Document Management System (Code L)

    13. [EAO:]{.underline} External Action Officer (outside of the
        Office of Legislative Affairs)

    14. [ECC:]{.underline} Electronic Carbon Copy (Electronic mail
        version of correspondence)

    15. [E-mail:]{.underline} Electronic Mail

    16. [HATS:]{.underline} Headquarters Action Tracking System

    17. [LBAO:]{.underline} Action Officer from the Liaison Division
        (Position Description is Legislative Affairs
        Specialist[)]{.underline}

    18. [LBDD:]{.underline} Division Director, Liaison Division

    19. [LDAO:]{.underline} Action Officer from the Congressional
        Inquiries Division (Position Description is Legislative Affairs
        Specialist or Legislative Affairs Officer)

    20. [LDDD:]{.underline} Division Director, Inquiries Division

    21. [Lead Sect:]{.underline} Lead Secretary for the Office of
        Legislative Affairs

    22. [OMB:]{.underline} Office of Management and Budget

    23. [Progress Notes:]{.underline} Sheet on which Code LD Legislative
        Affairs Specialist writes notes pertaining to action status and
        events. These notes are retained with the case file throughout
        the case activities and are filed with the case upon case
        closure. See Appendix B.

    24. [QA/QC:]{.underline} Quality Assurance/Quality Control

    25. [Sect.:]{.underline} Secretary in the Office of Legislative
        Affairs (any Division)

3.26 [Yellow Copy:]{.underline} Copy of outgoing correspondence on which
Code L employees initial approval; remains in case file as Quality
Record.

4.  **References**

    1.  NPG 1450.4, Handling Congressional Correspondence and
        Information Concerning Congressional Activities

5.  ![](media/image1.wmf)**Flowchart**

![](media/image2.wmf)

![](media/image3.wmf)

![](media/image4.wmf)

![](media/image5.wmf)

**6. Procedure**

+------+--------+-----------------------------------------------------+
| ## S | ## Ac  | ## Action                                           |
| tep  | tionee |                                                     |
+------+--------+-----------------------------------------------------+
| 6.1  |        | Written correspondence from Congress received in    |
|      |        | Code LD.                                            |
|      |        |                                                     |
|      |        | NPG 1450.4 describes Procedures and Guidelines for  |
|      |        | the delivery of Congressional correspondence to the |
|      |        | Office of Legislative Affairs Congressional         |
|      |        | Inquiries Division.                                 |
+------+--------+-----------------------------------------------------+
| 6.2  | CC     | CC logs correspondence into HATS and determines     |
|      |        | Code L action office and action officer. Decisions  |
|      |        | based on subject matter of the correspondence and   |
|      |        | memos from the Deputy Associate Administrator for   |
|      |        | Legislative Affairs and Congressional Inquiries     |
|      |        | Division Director establishing assignments. (Latest |
|      |        | versions of these memos available in Code L). By    |
|      |        | the nature of the correspondence and its author(s)  |
|      |        | CC determines whether the action should be assigned |
|      |        | to personnel in Code LB or LD. If the               |
|      |        | Correspondence comes from a Congressional Committee |
|      |        | and/or relates to significant issues of NASA        |
|      |        | policy, it is assigned to Code LB. All other        |
|      |        | correspondence is assigned to Code LD. The CC uses  |
|      |        | judgement and experience to make this               |
|      |        | determination. Establishes action due date of three |
|      |        | calendar weeks from the date logged in unless       |
|      |        | author of correspondence requests an earlier due    |
|      |        | date. CC scans incoming correspondence and HATS     |
|      |        | sheet into the Code L DMS.                          |
+------+--------+-----------------------------------------------------+
| 6.3  | CC     | If assigned to LB, go to 6.3.1; if assigned to LD,  |
|      |        | go to 6.4.                                          |
+------+--------+-----------------------------------------------------+
| 6    | LBAO   | LBAO reviews content of letter and determines the   |
| .3.1 |        | EAO. Determination of the EAO is based on the       |
|      |        | subject matter of the correspondence and the NASA   |
|      |        | HQ Code that is responsible for that subject. Using |
|      |        | Action Sheet (Appendix A), LBAO provides incoming   |
|      |        | correspondence to the EAO with an assigned due date |
|      |        | based on any date specified in the incoming         |
|      |        | correspondence and/or based on judgement and        |
|      |        | requests draft response. LBAO uses Action Sheet to  |
|      |        | document case status as case progresses.            |
+------+--------+-----------------------------------------------------+
| 6    | LBDD   | Sends letter to Congressional author acknowledging  |
| .3.2 |        | receipt of incoming correspondence.                 |
+------+--------+-----------------------------------------------------+
| 6    | LBAO   | Did the LBAO receive the draft from the EAO by the  |
| .3.3 |        | due date? If not, go to 6.3.4; if yes, go to 6.3.5  |
+------+--------+-----------------------------------------------------+
| 6    | LBAO   | LBAO consults with EAO to settle on revised date    |
| .3.4 |        | for receipt of draft response from EAO. Go to Step  |
|      |        | 6.3.3                                               |
+------+--------+-----------------------------------------------------+
| 6    | LBAO   | Based on input from the EAO, LBAO prepares a draft  |
| .3.5 |        | response to the correspondence. This block is also  |
|      |        | the starting point for any correspondence sent to   |
|      |        | Congress that is initiated by the Office of         |
|      |        | Legislative Affairs as opposed to being in response |
|      |        | to an incoming letter.                              |
+------+--------+-----------------------------------------------------+
| 6    | LBAO   | LBAO recommends whether NASA Administrator should   |
| .3.6 |        | sign the outgoing correspondence. This              |
|      |        | determination is based upon expressed desire of the |
|      |        | Administrator and/or other management officials;    |
|      |        | nature of the correspondence; Congressional         |
|      |        | Member(s) who wrote; any other factors judged to    |
|      |        | require the Administrator as the signatory. Go to   |
|      |        | Step 6.3.6.1 if Administrator's signature is        |
|      |        | required and go to Step 6.3.7 if not required.      |
+------+--------+-----------------------------------------------------+
| 6.3  | LBAO   | If determined that Administrator is signatory,      |
| .6.1 |        | distributes copy of incoming letter and draft       |
|      |        | response for review. The LBAO determines who should |
|      |        | review based on the subject matter of the           |
|      |        | correspondence and the NASA Headquarters Codes who  |
|      |        | are responsible for that subject matter. Provides   |
|      |        | due date for comment.                               |
+------+--------+-----------------------------------------------------+
| 6.3  | LBAO   | Were responses received by due date? If yes, go to  |
| .6.2 |        | 6.3.6.4; if no, go to 6.3.6.3                       |
+------+--------+-----------------------------------------------------+
| 6.3  | LBAO   | LBAO contacts organizations which have not          |
| .6.3 |        | responded and negotiates revised due date. Go to    |
|      |        | Step 6.3.6.2.                                       |
+------+--------+-----------------------------------------------------+
| 6.3  | LBAO   | LBAO reviews comments. LBAO notifies provider of    |
| .6.4 |        | comments that are rejected and/or require           |
|      |        | negotiations. Upon disposition of                   |
|      |        | comments/concurrence, LBAO prepares a revised draft |
|      |        | of the response.                                    |
+------+--------+-----------------------------------------------------+
| 6.3  | LBAO   | LBAO may choose to recirculate revised draft for    |
| .6.5 |        | further review if substantive changes have been     |
|      |        | made to the initial draft letter. This step is at   |
|      |        | the discretion of the LBAO and is based on          |
|      |        | judgement and experience of the LBAO.               |
+------+--------+-----------------------------------------------------+
| 6.3  | LBAO   | Provides revised draft to appropriate codes for     |
| .6.6 |        | another review. Will disposition comments as        |
|      |        | described in Steps 6.3.6.4 and 6.3.6.5.             |
+------+--------+-----------------------------------------------------+
| 6.3  | LBAO   | The LBAO determines whether draft response requires |
| .6.7 |        | clearance by OMB. This determination is based on    |
|      |        | the subject matter, policy implications,            |
|      |        | sensitivity of the issue, need for Administration   |
|      |        | approval and other factors judged by the LBAO,      |
|      |        | through experience, consultation and knowledge, to  |
|      |        | suggest a need for OMB clearance. If OMB clearance  |
|      |        | is needed, go to Step 6.3.6.8; if not needed go to  |
|      |        | Step 6.3.6.12.                                      |
+------+--------+-----------------------------------------------------+
| 6.3  | LBAO   | If it is determined that the draft response needs   |
| .6.8 |        | to be sent to OMB, the LBAO will provide OMB with a |
|      |        | copy of the incoming letter and the draft response  |
|      |        | and will specify a due date for clearance based on  |
|      |        | lead-time required to complete action by date due.  |
+------+--------+-----------------------------------------------------+
| 6.3  | LBAO   | Determines if OMB clearance received by due date.   |
| .6.9 |        | If no, go to 6.3.6.10; if yes go to 6.3.6.11.       |
+------+--------+-----------------------------------------------------+
| 6.3. | LBAO   | Negotiates revised due date with OMB. Go to Step    |
| 6.10 |        | 6.3.6.9.                                            |
+------+--------+-----------------------------------------------------+
| 6.3. | LBAO   | Should OMB have any comments on the proposed draft, |
| 6.11 |        | the LBAO will notify the EAO and any other offices  |
|      |        | whom the LBAO determines should be notified of the  |
|      |        | comments. Any disagreements between OMB and NASA    |
|      |        | will be resolved via negotiations. LBAO will then   |
|      |        | prepare the letter recommended for signature.       |
+------+--------+-----------------------------------------------------+
| 6.3. | LBAO   | LBAO determines which codes need to concur on the   |
| 6.12 |        | ADS based on subject matter of response and LBAO's  |
|      |        | knowledge and experience. Provides incoming letter, |
|      |        | proposed response and ADS to codes for final review |
|      |        | and concurrence.                                    |
+------+--------+-----------------------------------------------------+
| 6.3. | LBAO   | Will negotiate any issues that arise in the ADS     |
| 6.13 |        | clearance process with respective codes who         |
|      |        | introduce these issues. If necessary, will bring    |
|      |        | OMB into negotiations to ensure that all parties    |
|      |        | are included in final disposition.                  |
+------+--------+-----------------------------------------------------+
| 6.3. | Sec    | Provides the recommended letter and ADS to Code CIC |
| 6.14 | retary | for obtaining the Administrator's signature. Notes  |
|      |        | date of OMB approval on the ADS.(Go to Step 6.6)    |
|      | (LB)   |                                                     |
+------+--------+-----------------------------------------------------+
| 6    | LBAO   | If it is determined that Administrator's signature  |
| .3.7 |        | is not required, LBAO obtains necessary             |
|      |        | concurrence. Determination of who should be asked   |
|      |        | to concur is based on the LBAO's judgement and      |
|      |        | factors in subject matter, sensitivity, specific    |
|      |        | nature of any issues (i.e., legal issues so the     |
|      |        | lawyers would see or budget issues so the           |
|      |        | comptroller would see). If LBAO determines that OMB |
|      |        | should review for Administration concurrence, see   |
|      |        | Step 6.3.6.8 through Step 6.3.6.11 for process      |
|      |        | flow. The LBAO reviews comments. LBAO notifies      |
|      |        | providers of comments that are either rejected or   |
|      |        | require further negotiation.                        |
+------+--------+-----------------------------------------------------+
| 6    | LBAO   | Decides whether and which codes should have         |
| .3.8 |        | opportunity for further review of draft. This       |
|      |        | depends on the substance of the changes made based  |
|      |        | on comments as well as the experience and judgement |
|      |        | of the LBAO. If further review needed, go to 6.3.9; |
|      |        | if not go to 6.3.10.                                |
+------+--------+-----------------------------------------------------+
| 6    | LBAO   | If determined that codes should review again, LBAO  |
| .3.9 |        | provides revised draft to codes for final code      |
|      |        | review.                                             |
+------+--------+-----------------------------------------------------+
| 6.   | LBAO   | Prepare response, incorporating comments.           |
| 3.10 |        |                                                     |
+------+--------+-----------------------------------------------------+
| 6.   | LBDD   | The draft response is provided to the LB Division   |
| 3.11 |        | Director for approval. Approval is given based on   |
|      |        | the LBDD's professional knowledge, judgement and    |
|      |        | experience. If the LBDD does not approve, return to |
|      |        | Step 6.3.5.                                         |
+------+--------+-----------------------------------------------------+
| 6.   | Sect.  | Prepares package for submission to AA for           |
| 3.12 |        | signature. Package includes incoming letter,        |
|      |        | proposed response, comments received, the approval  |
|      |        | of the LBAO and LBDD (via initials on yellow copy   |
|      |        | of letter) and of other parties requested to        |
|      |        | concur.                                             |
+------+--------+-----------------------------------------------------+
| 6.   | AA     | AA, based on knowledge, judgement and experience    |
| 3.13 |        | will determine whether to sign letter. If AA signs  |
|      |        | letter, proceed to 6.3.14. If AA does not sign      |
|      |        | letter it is returned to the LBAO for further       |
|      |        | action.                                             |
+------+--------+-----------------------------------------------------+
| 6.   | AA     | AA indicates approval by signing correspondence.    |
| 3.14 |        |                                                     |
+------+--------+-----------------------------------------------------+
| 6.4  | LDAO   | For cases assigned to Code LD, the LDAO telephones  |
|      |        | the Congressional staffer to acknowledge that       |
|      |        | correspondence has been received and notes such on  |
|      |        | the Progress Notes (Appendix B). LDAO uses Progress |
|      |        | Notes to document case status as case progresses.   |
+------+--------+-----------------------------------------------------+
| 6.5  | LDAO   | The LDAO determines if he/she has information       |
|      |        | available to respond to inquiry without need to ask |
|      |        | for additional input. This is based on the subject  |
|      |        | matter of the inquiry; complexity of inquiry;       |
|      |        | whether Code L has answered same issues in the      |
|      |        | past; response information readily available such   |
|      |        | as brochures, pictures. If no additional input is   |
|      |        | required, go to Step 6.5.1; if additional input     |
|      |        | required go to Step 6.5.2.                          |
+------+--------+-----------------------------------------------------+
| 6    | LDAO   | If LDAO determines can answer, assembles necessary  |
| .5.1 |        | information. Go to Step 6.5.6.                      |
+------+--------+-----------------------------------------------------+
| 6    | LDAO   | If LDAO determines input needed from other sources, |
| .5.2 |        | determines EAO and information copy recipients and  |
|      |        | transmits action/info to the individuals using the  |
|      |        | LD action and information copy transmittal sheet.   |
|      |        | (See Appendix C). Determination of who receives     |
|      |        | action is based on subject matter of the incoming   |
|      |        | correspondence; determination of who receives       |
|      |        | information only copies of the correspondence is    |
|      |        | based on subject matter and LDAO's judgement and    |
|      |        | experience regarding those who might be called upon |
|      |        | by the EAO and /or LDAO for assistance/concurrence  |
|      |        | as response is being prepared. Establishes due date |
|      |        | for the action draft response. Standard is two      |
|      |        | weeks unless standard due date requires adjustment  |
|      |        | per the judgement of the LDAO.                      |
+------+--------+-----------------------------------------------------+
| 6    | LDAO   | Determines whether draft response received from EAO |
| .5.3 |        | by the due date. If received by due date, go to     |
|      |        | Step 6.5.5; if not received by due date, go to Step |
|      |        | 6.5.4.                                              |
+------+--------+-----------------------------------------------------+
| 6    | LDAO   | If draft response not received from EAO by due      |
| .5.4 |        | date, negotiates revised due date with EAO. Go to   |
|      |        | Step 6.5.3.                                         |
+------+--------+-----------------------------------------------------+
| 6    | LDAO   | Upon receipt of draft response from EAO, LDAO       |
| .5.5 |        | reviews proposed input and clarifies any            |
|      |        | questions/issue with the EAO.                       |
+------+--------+-----------------------------------------------------+
| 6    | LDAO   | Prepares draft response to the correspondence.      |
| .5.6 |        |                                                     |
+------+--------+-----------------------------------------------------+
| 6    | LDAO   | Determines whether concurrences are needed. This is |
| .5.7 |        | based on the subject matter of the incoming         |
|      |        | correspondence and the proposed answer, sensitivity |
|      |        | of subject, need for review of any policy issues    |
|      |        | (such as legal and/or budget),                      |
|      |        | confirmation/clarification of the correctness of    |
|      |        | the proposed answer. If concurrences needed, go to  |
|      |        | Step 6.5.8; if not needed go to Step 6.5.11.        |
+------+--------+-----------------------------------------------------+
| 6    | LDAO   | If concurrences are needed, forwards to office(s).  |
| .5.8 |        | Determination of concurring office(s) is based on   |
|      |        | subject matter and other items as described in      |
|      |        | 6.5.7                                               |
+------+--------+-----------------------------------------------------+
| 6    | LDAO   | Reviews any comments received.                      |
| .5.9 |        | Editing/typographical comments are incorporated as  |
|      |        | appropriate. Other comments are discussed and       |
|      |        | negotiated among the LDAO, EAO, and provider(s) of  |
|      |        | the comments. LDAO prepares update of the draft     |
|      |        | response. Concurrences/ comments are retained in    |
|      |        | the case file.                                      |
+------+--------+-----------------------------------------------------+
| 6.   | LDAO   | Determines whether revised draft needs again to be  |
| 5.10 |        | reviewed by offices. This decision is based on the  |
|      |        | nature of the comments and the determination of the |
|      |        | LDAO in this regard is based on his/her knowledge,  |
|      |        | experience and judgement. If yes, go to 6.5.8. If   |
|      |        | not, proceed to 6.5.11.                             |
+------+--------+-----------------------------------------------------+
| 6.   | LDAO   | Provides draft letter to LDDD for review and        |
| 5.11 |        | approval.                                           |
+------+--------+-----------------------------------------------------+
| 6.   | LDDD   | Decides whether to approve. This decision is based  |
| 5.12 |        | on the knowledge, experience and judgement of the   |
|      |        | LDDD. If LDDD does not approve, go to Step 6.5.6.   |
+------+--------+-----------------------------------------------------+
| 6.   | LDDD   | LDDD edits as needed and indicates approval by      |
| 5.13 |        | initialing and dating the draft response.           |
+------+--------+-----------------------------------------------------+
| 6.   | Sect.  | Prepares final package which becomes the case file. |
| 5.14 |        | Package includes incoming and response letters, any |
|      |        | enclosures, copies (including a copy for the        |
|      |        | Member's file, the "yellow" which is the official   |
|      |        | quality record of the response for the file, a copy |
|      |        | for the LDAO and any other copies needed as         |
|      |        | determined by the LDAO), concurrences, comments     |
|      |        | received, HATS sheet, Action and Information        |
|      |        | Control Sheets, progress notes, E-mails generated   |
|      |        | during preparation of response and any other        |
|      |        | material generated during the course of response    |
|      |        | preparation.                                        |
+------+--------+-----------------------------------------------------+
| 6.   | LDAO   | Performs QA/QC on final package and indicates       |
| 5.15 |        | approval via initials and date on the yellow copy.  |
|      |        | If corrections are required, returns to secretary   |
|      |        | to make.                                            |
+------+--------+-----------------------------------------------------+
| 6.   | LDDD   | Performs QA/QC on final package and indicates       |
| 5.16 |        | approval via initials and date on the yellow copy.  |
|      |        | If corrections are required, returns to secretary   |
|      |        | to make.                                            |
+------+--------+-----------------------------------------------------+
| 6.   | Sect.  | Makes entry in Code LD Log Book (Appendix D) noting |
| 5.17 |        | incoming date of case and date sent to Lead         |
|      |        | Secretary.                                          |
+------+--------+-----------------------------------------------------+
| 6.   | Lead   | Performs QA/QC on final package and indicates       |
| 5.18 | Sect.  | approval via initials and date on the yellow copy.  |
|      |        | If changes are required, returns to LD secretary.   |
+------+--------+-----------------------------------------------------+
| 6.   | AA     | Lead Secretary provides to AA for signature.        |
| 5.19 |        |                                                     |
+------+--------+-----------------------------------------------------+
| 6.   | AA     | AA, based on knowledge, judgement and experience    |
| 5.20 |        | will determine whether to sign letter. If AA signs  |
|      |        | letter, proceed to 6.5.21. If AA does not sign      |
|      |        | letter it is returned to the LDAO for further       |
|      |        | action.                                             |
+------+--------+-----------------------------------------------------+
| 6.   | AA     | AA returns signed letter to LD secretary who        |
| 5.21 |        | completes LD log by filling in date letter sent to  |
|      |        | author of incoming letter.                          |
+------+--------+-----------------------------------------------------+
| 6.   | Sect.  | Electronically mails the final approved response to |
| 5.22 |        | EAO, recipients of information copies, those who    |
|      |        | concurred and any others whom the LDAO determines   |
|      |        | should receive a copy of the final letter. LDAO     |
|      |        | determination of who should receive ECC is based on |
|      |        | judgement, experience, ensuring that involved       |
|      |        | individuals are kept apprised of what is finally    |
|      |        | sent to author of incoming letter and LDAO          |
|      |        | determination of who has need to receive copies.    |
+------+--------+-----------------------------------------------------+
| 6.6  | CC     | Author of incoming letter receives a signed,        |
|      | /Sect. | mailed, hard copy response of the reply. Also       |
|      |        | receiving hard copy would be anyone else, as        |
|      |        | determined by the LDAO, LBAO, LBDD or LDDD who has  |
|      |        | a need to receive such a copy. Examples of that     |
|      |        | would be when the LDAO is able to answer a letter   |
|      |        | with material available but wants to ensure that    |
|      |        | the subject matter office is aware of the incoming  |
|      |        | letter and the response. Also occurs when someone   |
|      |        | is mentioned in a letter as a contact point and     |
|      |        | want to ensure person(s) is aware of mention and    |
|      |        | receives copies of both the incoming and outgoing   |
|      |        | correspondence.                                     |
+------+--------+-----------------------------------------------------+
| 6.7  | CC     | Closes case in HATS; scans final package into DMS   |
|      |        | (file copy of signed response letter (i.e.,         |
|      |        | "yellow" copy) plus enclosures plus updated HATS    |
|      |        | Control Sheet with closure date on it).             |
+------+--------+-----------------------------------------------------+
| 6.8  | CC     | Files case file in Code LD Office files.            |
+------+--------+-----------------------------------------------------+

**7. Quality Records**

+-------------+------+------+---------+-------------+----------------+
| Record      | O    | Loca | Record  | Schedule    | Retention/     |
| Ide         | wner | tion | Media:  | Number and  |                |
| ntification |      |      | Ele     | Item Number | Disposition    |
|             |      |      | ctronic | (NPG        |                |
|             |      |      | or Hard | 1441.1)     |                |
|             |      |      | Copy    |             |                |
+-------------+------+------+---------+-------------+----------------+
| Logged-in   | LD   | Code | Hard    | Schedule 1, | Retain for 5   |
| Letter      |      | LD   | Copy    | Item 27(A)  | years and then |
|             |      | F    |         |             | to Federal     |
|             |      | iles |         |             | Records        |
|             |      |      |         |             | Center(FRC).   |
+-------------+------+------+---------+-------------+----------------+
| Co          | LD   | Code | Hard    | Schedule 1, | Retain for 5   |
| ngressional |      | LD   | Copy    | Item 27(A)  | years and then |
| Inquiry     |      | F    |         |             | to Federal     |
| Action/     |      | iles |         |             | Records        |
| Information |      |      |         |             | Center(FRC).   |
| Copy        |      |      |         |             |                |
| Control     |      |      |         |             |                |
| Sheet       |      |      |         |             |                |
+-------------+------+------+---------+-------------+----------------+
| Ackn        | LB   | Code | Hard    | Schedule 1, | Retain for 5   |
| owledgement |      | LD   | Copy    | Item 27(A)  | years and then |
| Letter      |      | F    |         |             | to Federal     |
|             |      | iles |         |             | Records        |
|             |      |      |         |             | Center(FRC).   |
+-------------+------+------+---------+-------------+----------------+
| Action      | LB   | Code | Hard    | Schedule 1, | Retain for 5   |
| Sheet       |      | LD   | Copy    | Item 27(A)  | years and then |
|             |      | F    |         |             | to Federal     |
|             |      | iles |         |             | Records        |
|             |      |      |         |             | Center(FRC).   |
+-------------+------+------+---------+-------------+----------------+
| Action      | LB   | Code | Hard    | Schedule 1, | Retain for 5   |
| Document    |      | LD   | Copy    | Item 27(A)  | years and then |
| Summary     |      | F    |         |             | to Federal     |
| (NHQ Form   |      | iles |         |             | Records        |
| 117)        |      |      |         |             | Center(FRC).   |
+-------------+------+------+---------+-------------+----------------+
| Approved    | LD   | Code | Hard    | Schedule 1, | Retain for 5   |
| Draft       |      | LD   | Copy    | Item 27(A)  | years and then |
| Letter      |      | F    |         |             | to Federal     |
|             |      | iles |         |             | Records        |
|             |      |      |         |             | Center(FRC).   |
+-------------+------+------+---------+-------------+----------------+
| Approved    | LD   | Code | Hard    | Schedule 1, | Retain for 5   |
| Lette       |      | LD   | Copy    | Item 27(A)  | years and then |
| r/Initialed |      | F    |         |             | to Federal     |
|             |      | iles |         |             | Records        |
|             |      |      |         |             | Center(FRC).   |
+-------------+------+------+---------+-------------+----------------+
| Progress    | LD   | Code | Hard    | Schedule 1, | Retain for 5   |
| Notes       |      | LD   | Copy    | Item 27(A)  | years and then |
|             |      | F    |         |             | to Federal     |
|             |      | iles |         |             | Records        |
|             |      |      |         |             | Center(FRC).   |
+-------------+------+------+---------+-------------+----------------+
| "Yellow"    | LD   | Code | Hard    | Schedule 1, | Retain for 5   |
| copy of     |      | LD   | Copy    | Item 27(A)  | years and then |
| outgoing    |      | F    |         |             | to Federal     |
| cor         |      | iles |         |             | Records        |
| respondence |      |      |         |             | Center(FRC).   |
+-------------+------+------+---------+-------------+----------------+
| H           | LD   | Code | Hard    | Schedule 1, | Retain for 5   |
| eadquarters |      | LD   | Copy    | Item 27(A)  | years and then |
| Action      |      | F    |         |             | to Federal     |
| Tracking    |      | iles |         |             | Records        |
| System      |      |      |         |             | Center(FRC).   |
| (HATS)      |      |      |         |             |                |
| Sheet       |      |      |         |             |                |
+-------------+------+------+---------+-------------+----------------+

**[APPENDICES]{.underline}**

Appendix A: Code LB Transmittal Sheet, "Action, Congressional Inquiry"
(Code L Shared Drive)

Appendix B: Progress Notes (Code LD Shared Drive)

Appendix C: Code LD Transmittal Sheet, "Congressional Inquiry: Action
/Information Copy" (Code LD Shared Drive)

Appendix D: Code LD's Incoming and Outgoing Log Book (Year) (Code LD
Shared Drive)

NOTE: Code L and LD Shared Drives requires password access to the Code L
server; Appendices are available to individuals outside of Code L by
request.

***\*\*\*\*\* ACTION \*\*\*\****

# CONGRESSIONAL INQUIRY

# Appendix A

**DATE:**

## 

**ACTION OFFICE(S**):

FROM:

### SUBJECT: .

**DUE DATE:**

**INSTRUCTIONS:**

**NOTES:**

![](media/image6.wmf)

December 10, 1999

**Appendix B**

**PROGRESS NOTES**

**Case #:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Member:\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Staffer:\_\_\_\_\_\_\_\_\_\_\_\_\_**

**E-Mail : Yes\_\_\_\_ NO\_\_\_\_ E-mail
Address:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

  -----------------------------------------------------------------------

  May 4, 2000
  -----------------------------------------------------------------------

**CONGRESSIONAL INQUIRY** ![](media/image7.bmp)

# 

#### NASA Headquarters

#### Office of Legislative Affairs

Congressional Inquiries Division (Code LD)

> **APPENDIX C**
>
> DATE:

Phone #: 202-358-1943

Fax #: 202-358-4343

###  [ACTION TO]{.underline}:

**[INFORMATION COPY TO]{.underline}**:

**[FROM]{.underline}:**

**[Member]{.underline}: [Case Number]{.underline}:**

**Response Due Date:**

**[Instructions for Responding]{.underline}:** Please prepare a draft
reply to the attached Congressional inquiry and send it via electronic
mail. If you need clarification of this assignment -- or additional time
to prepare a reply -- please contact the respective Legislative Affairs
Specialist.

**Specific Notes for this Action:**

August 3, 2000

#  Appendix D

# LD's INCOMING & OUTGOING 

LOG BOOK (CALENDER YEAR)

Control \# Cong./Sen. Name Incoming Date Lead Sec't. Outgoing Date

  ---------- --------------- --------------- ------------ ----------------
                                                          

                                                          

                                                          

                                                          

                                                          

                                                          

                                                          
  ---------- --------------- --------------- ------------ ----------------

January 1, 1999