NASA

Strategic Management
Handbook
The Red Book
NPG 1000.2
February 2000
Performance
Evaluation
Strategic
Planning
Performance and
Implementation
Planning
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TABLE OF CONTENTS
PREFACE
P.1 Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
P.2 A pplicability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
P.3 A uthority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
P.4 R eferences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
P.5 C ancellation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
CHAPTER 1STRATEGIC MANAGEMENT SYSTEM
1.1 O verview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
1.2 Strategic Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
1.3 Im plem entation: Perform ance and B udget Planning . . . . . . . . . . . . 6
1.4 Perform ance Evaluation and R eporting . . . . . . . . . . . . . . . . . . . . . . 7
CHAPTER 2ROLES AND RESPONSIBILITIES
2.1 O rganizational O verview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
2.2 A gency M anagem ent . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
2.3 Enterprise M anagem ent . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
2.4 Functional M anagem ent . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
2.5 C rosscutting Process M anagem ent. . . . . . . . . . . . . . . . . . . . . . . . 22
2.6 M anage Strategically. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
2.7 Provide A erospace Products and C apabilities. . . . . . . . . . . . . . . . 23
2.8 G enerate K now ledge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
2.9 C om m unicate K now ledge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
2.10 N A SA and Its Em ployees: M utual R esponsibilities. . . . . . . . . . . . . 24
2.11 O ffice of Inspector G eneral. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
CHAPTER 3STRATEGIC PLANNING
3.1 The G overnm ent Perform ance and R esults A ct of 1993. . . . . . . . . 25
3.2 N A SA Strategic Planning R equirem ents . . . . . . . . . . . . . . . . . . . . 25
3.3 N A SAs Strategic Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
3.4 Enterprise Strategic Plans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
3.5 C apital Investm ent Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
3.6 Functional O ffice Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
CHAPTER 4IMPLEMENTATION PLANNING
4.1 Perform ance and B udget Planning Process . . . . . . . . . . . . . . . . . 29
4.2 Five-Year B udget Planning O verview . . . . . . . . . . . . . . . . . . . . . . . 29
4.3 Perform ance Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
4.4 D eveloping and Issuing G uidance . . . . . . . . . . . . . . . . . . . . . . . . 31
4.5 Perform ance and B udget D ecisionm aking Process . . . . . . . . . . . . 32
4.6 M anagem ent and Em ployee Perform ance Planning . . . . . . . . . . . 35
4.7 Im plem entation in the O perating Year . . . . . . . . . . . . . . . . . . . . . . 36
CHAPTER 5PERFORMANCE EVALUATION
5.1 Perform ance Evaluation Process . . . . . . . . . . . . . . . . . . . . . . . . . . 37
5.2 A gency A nnual G PR A Perform ance R eport and O ther External
R eporting R equirem ents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
5.3 External R eview s. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
5.4 Independent Validation of Perform ance M easures. . . . . . . . . . . . . 38
5.5 Education, Training, and R ew ards in Strategic M anagem ent. . . . . 39
APPENDICES
A D esignated C enter M ission A reas and C enters of Excellence . . . . 41
B Principal C enter D esignations . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
C Lead C enter Program A ssignm ents. . . . . . . . . . . . . . . . . . . . . . . . 45
D N A SA Policy D irectives (N PD ) and N A SA Procedures and
G uidelines (N PG ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
E N ational A eronautics and Space A ct, as A m ended . . . . . . . . . . . . 49
F G overnm ent Perform ance and R esults A ct of 1993 . . . . . . . . . . . . 51
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PREFACE
P.1 Purpose
N A SAs Strategic M anagem ent System enables the A gency to establish
strategy, m ake decisions, allocate resources, and m anage program s
safely, effectively, and efficientlyin w ays that are consistent w ith
N A SAs strategic plans and perform ance plans. The purpose of this
directive is to docum ent that system . This directive includes:
a. Strategic planning
b. Im plem entation
c. Perform ance evaluation
This directive also describes the strategic m anagem ent roles and rela-
tionships of N A SAs various organizational elem ents, from the
A dm inistrator to all N A SA em ployees. N A SAs Strategic Enterprises,
A gencyw ide Functional O ffices, and C rosscutting Processes are the
fram ew ork for N A SAs Strategic M anagem ent System .
P.2 Applic ability
P.2.1 This N PG applies to N A SA H eadquarters and the N A SA C enters,
including C om ponent Facilities, and to the Jet Propulsion Laboratory as
provided in the contract.
P.2.2 D escriptions of policies, authorities, roles, and responsibilities for strate-
gic m anagem ent in this N PG supplem ent N PG 1000.3, The N A SA
O rganization.
P.2.3 D escriptions of A gency-level policies, processes, procedures, and
guidelines specific to organizational activities and m ore detailed ele-
m ents of strategic m anagem ent are docum ented in the N A SA directives
system , C enter-specific docum entation, and the ISO 9000 docum enta-
tion for N A SA H eadquarters and C enters. A description of the directives
system can be found in N PD 1400.1, N A SA D irectives System ,and
N PG 1400.2, N A SA D irectives System Procedures and G uidelines.
P.3 Authority
42 U .S.C . 2473(c)(1), Section 203(c)(1), of the N ational A eronautics and
Space A ct of 1958, as am ended
P.4 Referenc es
a. 31 U .S.C . 11011119, 97039704, the G overnm ent Perform ance
and R esults A ct of 1993, as am ended
b. 31 U .S.C . 501506, 901903, 3511, et seq., the C hief Financial
O fficers A ct of 1990, as am ended
c. 40 U .S.C . 1401, et seq., the C linger-C ohen A ct of 1996 (Section
808 of Public Law (P.L.) 104-208, renam ing, in pertinent part, the
Inform ation Technology M anagem ent R eform A ct (D ivision E of P.L.
104-106))
d. N PD 1000.1, N A SA Strategic Plan
e. N PD 1080.1, N A SA G enerate K now ledge (G K ) Process for
Program s and Projects
f. N PG 1080.x, G uidelines for the G enerate K now ledge Process for
Program s and Projects
g. N PD 1090.x, N A SA C om m unicate K now ledge Process for
Program s and Projects
h. N PG 1090.x, C om m unicating N A SAs K now ledge from Program s
and Projects
i. N PG 1000.3, The N A SA O rganization
j. N PD 1400.1, N A SA D irectives System
k. N PG 1400.1, N A SA D irectives System Procedures and G uidelines
l. N PD 8700.1, N A SA Policy for Safety and M ission Success
m . N PD 7120.4, Program /Project M anagem ent
n. N PG 7120.5A , N A SA Program and Project M anagem ent Processes
and R equirem ents
o. N PD 8730.3, N A SA Q uality M anagem ent System Policy (ISO 9000)
p. N PD 9800.1, N A SA O ffice of Inspector G eneral Program s
P.5 Canc ellation
N A SA Strategic M anagem ent H andbook (O ctober 1996)
[Signed 1-19-00]
D aniel S. G oldin
A dm inistrator
D ISTR IB U TIO N : N O D IS
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CHAPTER 1
STRATEGIC MANAGEMENT SYSTEM
1.1 Overview
1.1.1 N A SA consists of N A SA H eadquarters, nine C enters, the Jet Propulsion
Laboratory (operated under contract to N A SA by the C alifornia Institute
of Technology), and several ancillary installations and offices in the
U nited States and abroad. A s a result of the A gencys decentralized
operations, N A SAs organization has evolved into a tw o-tiered structure
of A gencyw ide m anagem ent: (a) A gency m anagem ent, including the
A dm inistrator, officials w ithin the O ffice of the A dm inistrator, and
Functional O ffices; and (b) Enterprise m anagem ent, including
Enterprise A ssociate A dm inistrators and C enter D irectors. The im ple-
m entation of N A SA program s and aeronautical and space/Earth sci-
ence and technology research occurs prim arily at the C enters.
1.1.2 The success of N A SAs m issions relies in part on the A gencys four
C rosscutting Processes.These processes are the w ay w e perform our
m ission. A ll activity w ithin N A SA is contained w ithin one or m ore of these
four processes: provide aerospace products and capabilities, generate
know ledge, com m unicate know ledge, and m anage strategically.
Policies and procedural guidelines governing these C rosscutting
Processes w ill be found in their respective N PD s and N PG s.
1.1.3 N A SAs strategic m anagem ent system is a set of ongoing and inter-
linked activities that includes strategic planning, im plem entation and
perform ance planning, and perform ance evaluation. A s show n in
Figures 11 and 12, these activities enable the A gency to m ake deci-
sions about its long-term goals, near-term activities, and institutional
capabilities that are consistent w ith achieving the m ission and objec-
tives to w hich it com m its itself in its Strategic Plan.
1.2 Strategic Planning
Strategic Planning establishes the direction for all A gency efforts and
form s the basis for strategic and tactical decisionm aking, resource allo-
cation, and capital investm ent. It does so in the context of the A gencys
vision, m ission, goals, objectives, values, and policies, as w ell as exter-
nal and internal environm ents. The Strategic Planning process requires
alignm ent am ong N A SAs Strategic Plan, the Enterprise Strategic Plans,
program s, and institutional capabilities (see Figure 12).
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1.3 Implementation: Performanc e and Budget Planning
The im plem entation planning process produces annual budget form u-
lation guidance and perform ance plans to achieve the goals and objec-
tives identified during the Strategic Planning process. It is a cyclical
process that is ongoing throughout the developm ent of N A SAs
Strategic Plan and Enterprise Strategic Plans, capital investm ent plans,
and A gency budgets and form s the basis for perform ance evaluation.
1.4 Performanc e Evaluation and Reporting
N A SAs progress in achieving the objectives of its Strategic Plan is rou-
tinely evaluated by both internal and external organizations. The
G overnm ent Perform ance and R esults A ct (G PR A ) of 1993) requires
Federal agencies to subm it annual perform ance plans follow ing the
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Strategic
Planning
Performance
Evaluation
Performance
and
Implementation
Planning
Figure 11. Strategic M anagem ent System
transm ittal to C ongress of the Presidents budget. N A SAs perform ance
report w ill reflect the perform ance goals against w hich the A gency
expects its effectiveness to be m easured in any given fiscal year.
1.4.1 B ecause investm ents in research and developm ent can yield results
5, 10, and 20 years in the future, N A SAs annual perform ance m easures
m ust incorporate m easures of both output and outcom e, addressing a
longer term view than fiscal year by fiscal year. N A SA w ill continue to
rely on its internal m anagem ent councils, its advisory com m ittees, and
the N ational R esearch C ouncil for assistance in evaluating its perform -
ance over extended periods of tim e.
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Agency
Performance
Plan/Budget
Integration &
Submittal
Admin. &
Congress
Approval/
Appropriation
5-Year Budget
(Including
Long-Term
Capital
Investments)
Agency
Strategic
Plan
Functional
Leadership
Initiatives/Plans
Agency
Performance
Planning &
Budget (Program
Operating Plan)
Guidance
Agency
Performance
Plan
Functional
Office
Performance
Evaluation
Agency
Perform.
Evaluation
& Reports
Enterprise
Performance
Planning &
Budget
Integration
Enterprise
Strategic
Plan
Performance
Plans
Enterprise
AA
Performance
Plans
Enterprise
Performance &
Budget (POP)
Guidance
Implementation
Plans (Updates)
Performance
Plans
(Including
Individuals)
Center Implementation Plans
(Including Centers of Excellence,
Program Lead and Support
Responsibilities, and Institutional
Investments)
Program/
Project
Program
Operating Plan
Revisions
Program/
Project
Manager
Performance
Plan
Proposed
Program/Project Plan
(Updates & New)
Strategic
Planning
Implementation and
Performance Planning
Performance
Evaluation
Enterprise
AA
Perform.
Evaluation
Perform.
Evaluation
(Including
Individuals)
Program/
Project
Perform.
Evaluation
& Reports
Note: This cycle is implemented on a regular basis, with the results and evaluation of prior-year performance
serving as a starting point for strategy development activities.
Centers
Functional/
Staff AA
Performance
Plan
Employees
Individual Performance Plans and Evaluations
Figure 12. Strategic M anagem ent Elem ents
1.4.2 The perform ance evaluation process allow s N A SA to identify potential
opportunities for im provem ent in program execution and process m an-
agem ent and to ensure safety and health, efficiency, and effectiveness.
Perform ance evaluation can also yield inform ation that m ay indicate a
need to change the A gencys long-term strategies or near-term objectives.
N A SA w ill report publicly on the results of its perform ance evaluations to
the A dm inistration and C ongress in an annual perform ance report.
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CHAPTER 2
ROLES AND RESPONSIBILITIES
2.1 Organizational Overview
N A SAs organizational structure encom passes corporate, A gencyw ide
m anagem ent and the m anagem ent of N A SAs Strategic Enterprises.
Strategic Enterprise m anagem ent includes the m anagem ent of N A SAs
C enters as w ell as program s and projects. A num ber of m anagem ent
councils and boards coordinate A gency planning. N A SAs organiza-
tional structure is displayed in Figure 21 and is described in greater
detail in N PG 1000.3.
2.2 Agenc y Management
A gency m anagem ent is responsible for A gency leadership, the devel-
opm ent of N A SAs strategy, and the integrated m anagem ent of the
Strategic Enterprises. It is the external focal point for N A SA com m uni-
cation and accountability, serving as the principal interface w ith the
A dm inistration, C ongress, and oversight agencies. A gency m anage-
m ent integrates the N A SA budget, determ ines long-term institutional
investm ent strategy, sets N A SA policy and standards, and ensures
A gency functional m anagem ent. A gency m anagem ent defines the
Strategic Enterprises and is responsible for review ing requirem ents,
allocating resources, assessing perform ance, and setting investm ent
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Functional Offices
Office of the
Administrator
Enterprise and Institutional
Program Office (IPO)
Management
Goddard Space Flight Center
Earth Science
Enterprise and IPO
Jet Propulsion Laboratory*
Space Science
Enterprise and IPO
Human Exploration &
Development of Space
Enterprise and IPO
Johnson Space Center
Kennedy Space Center
Marshall Space Flight Center
Stennis Space Center
Ames Research Center
Dryden Flight Research Center
Glenn Research Center
Langley Research Center
Aero-Space
Technology
Enterprise and IPO
Agency Councils
and Boards
* Wherever Jet Propulsion Laboratory or JPL appears in this document, note that the Jet Propulsion Laboratory (JPL) is
NASA-owned, but contractor-operated.
Figure 21. Agency and Enterprise M anagem ent Structure
goals across the Enterprises. Executive m anagem ent authority for the
A gency resides w ith the A dm inistrator, D eputy A dm inistrator, and
A ssociate D eputy A dm inistrator, advised and supported by the staff offi-
cials of the O ffice of the A dm inistrator and the senior-level councils and
boards chartered to perform A gency-level integration (see Figure 22).
2.2.1 N ASA Adm inistrator
The A dm inistrator serves as N A SAs chief executive officer, accountable
to the President for the leadership necessary to achieve the A gencys
m ission. This leadership requires articulating the A gencys vision, set-
ting its program m atic and budget priorities and internal policies, and
assessing A gency perform ance. Senior staff officials w ithin the O ffice of
the A dm inistrator include the D eputy A dm inistrator, A ssociate D eputy
A dm inistrator, C hief Engineer, C hief Inform ation O fficer, and C hief
Scientist.
2.2.2 Senior M anagem ent C ouncil
N A SA 's Senior M anagem ent C ouncil is chaired by the A dm inistrator
and consists of A ssociate A dm inistrators, O fficials-in-C harge of
H eadquarters offices, and C enter D irectors. This council advises the
A dm inistrator on the institutional health of the A gency and the status of
its program s and plans and serves as a forum for the discussion of
issues affecting A gency m anagem ent. The council review s the A gency
and Enterprise Strategic Plans, C enter Im plem entation Plans, and
Functional Leadership Plans, and it recom m ends approval or redirec-
tion by the A dm inistrator.
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Information
Technology
Investment
Council
Program
Management
Council
Capital
Investment
Council
Senior Management Council
Administrator
Chief
Financial
Officer
Council
Science
Council
Technology
Leadership
Council
Engineering
Management
Council
Space
Operations
Management
Council
Information
Technology
Security
Council
Space
Transportation
Council
Medical
Policy
Board
Occupational
Health and
Safety
Board
Facilities
Review
Board
EEO
Board
CIO
Representatives
Board
Environmental
Management
Board
Space
Station
Utilization
Board
Agency
Performance
Review
Board
Flight
Assignment
Board
Administrative
Issues
Board
Figure 22. Agency C ouncils and Boards
2.2.3 Program M anagem ent C ouncil (PM C )
The PM C review s the readiness of program s in form ulation to proceed
to im plem entation according to criteria established through the
approval process. The PM C w ill also review the im plem entation of
selected Enterprise program s and projects, as defined in the Program
C om m itm ent A greem ent, and functional initiatives referred to it by the
C apital Investm ent C ouncil and requiring Program C om m itm ent
A greem ents. The review of som e program s m ay be delegated to C enter
Program M anagem ent C ouncils. The PM C s form al review process eval-
uates cost, schedule, technical content, perform ance, and safety to
ensure that N A SA m eets its program m atic com m itm ents.
2.2.4 C apital Investm ent C ouncil (C IC )
2.2.4.1 The C IC exam ines A gencyw ide capital investm ents and policy issues.
This includes the balance am ong Enterprise program investm ents,
crosscutting technology investm ents, and institutional investm ents. The
C IC ensures an A gency perspective for all large, long-term investm ents
that enable the A gency and the Strategic Enterprises to execute their
program s. Investm ent areas include:
a. Facilities
b. Environm ental M anagem ent
c. Inform ation Technology
d. Science
e. Technology
f. H um an R esources
g. Safety and O ccupational H ealth
h. O ther designated investm ents
2.2.4.2 The C IC is the principal advisory group to the A dm inistrator in resolving
issues, prioritizing activities (capital investm ents, Functional O ffice initia-
tives, and program s), and balancing resources am ong the Strategic
Enterprises. The C IC s advice to the A dm inistrator is a significant elem ent
of the A gencys detailed im plem entation planning process and during
the budget developm ent process. The council resolves or recom m ends
options to the A dm inistrator on issues am ong the Enterprises, Functional
O ffices, and C enters, or com binations thereof, in term s of A gency invest-
m ent in assets or functional capabilities. The council also review s m ajor
Functional O ffice initiatives and review s and recom m ends budget guid-
ance initiating each annual budget cycle. W hen these review s are
required, the council w ill consider, am ong other criteria, the cum ulative
effect a proposed initiative w ill have on A gency resources. The
A dm inistrative Issues B oard provides support for this review activity.
2.2.4.3 Significant augm entation of a C enter of Excellence facility, hum an
resource levels and skill m ix, and proposals to change or designate
new C enters of Excellence are all A gency investm ent decisions, on
w hich the C IC m akes form al recom m endations to the A dm inistrator.
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2.2.5 O ther C ouncils of the O ffice of the Adm inistrator
The A dm inistrator also has chartered the follow ing councils, w hich are
chaired by individuals from the O ffice of the A dm inistrator or the C hief
Financial O fficer (C FO ).
2.2.5.1 Science C ouncil
2.2.5.1.1 The Science C ouncil, chaired by the C hief Scientist, coordinates
N A SAs science activities, prom otes public com m unication, and
ensures the quality of the A gencys science program . This council
advises the A dm inistrator on all aspects of science related to N A SAs
flight and ground program s.
2.2.5.1.2 The Science C ouncil serves as a forum for review ing Agency policies, prac-
tices, and issues as they relate to science activities; com m unicating and
discussing interdisciplinary science goals and the national and internation-
al policies that guide their developm ent; and integrating science plans. The
council also participates in the Agencys process of developing recom -
m endations for Agency-level science priorities and budgets. It shares
inform ation about operational areas of the Agencys Strategic Enterprises
as they relate to the quality and content of the science program .
2.2.5.2 Technology Leadership C ouncil
The Technology Leadership C ouncil, chaired by the A ssociate
A dm inistrator for A ero-Space Technology, advises the A dm inistrator on
all m aterial aspects of technology related to N A SAs flight and ground
program s. It coordinates N A SAs technology activities, including
advanced research and developm ent, across Enterprises and pro-
m otes public com m unication of N A SAs technology program s. The
Technology Leadership C ouncil also serves as a forum for review ing
A gency policies, practices, and issues as they relate to technology
activities, com m unicating and discussing technology goals and the
national policies that guide their developm ent, and integrating technol-
ogy plans. The council participates in the A gencys process of devel-
oping recom m endations for technology priorities across Enterprise
budgets for technology and supports the C IC w ith recom m endations for
C enter of Excellence designation.
2.2.5.3 Engineering M anagem ent C ouncil
The Engineering M anagem ent C ouncil, chaired by the C hief Engineer,
is a forum for assessing and im proving A gency engineering practices,
policies, training and certification standards, procedures, and capabili-
ties. W hen requested by the chair of the PM C or the C hief Engineer, this
council conducts or supports independent technical review s of N A SA
program s and technology/advanced developm ent activities.
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2.2.5.4 Space O perations C ouncil
The Space O perations C ouncil, chaired by the C hief Engineer, serves as
a forum for assessing and im proving A gency space operations policies,
practices, standards, procedures, and capabilities, w hile providing
A gencyw ide policy guidance for activities associated w ith N A SA opera-
tions. This council also provides policy guidance and recom m ends issue
resolution to the N A SA space operations m anagem ent organization that
provides operational m ission support to all N A SA Enterprises.
2.2.5.5 Space Transportation C ouncil
The Space Transportation C ouncil, chaired by the C hief Engineer,
advises the A dm inistrator and coordinates all aspects of space trans-
portation investm ents related to N A SAs flight and ground technology
program s. The council serves as a forum for establishing and review ing
A gency and interagency policies, practices, and issues related to
space transportation requirem ents and technology developm ent. The
council also defines an investm ent plan necessary for space trans-
portation technology developm ent and system upgrades and partici-
pates in the A gency process of developing recom m endations for trans-
portation technology priorities and advanced developm ent program s
across the individual Enterprises.
2.2.5.6 Inform ation Technology Investm ent C ouncil
The Inform ation Technology Investm ent C ouncil, chaired by the C hief
Inform ation O fficer, is responsible for establishing A gency-level inform a-
tion technology policies, plans, and standards. This council approves
N A SAs inform ation technology plans and conducts review s of proposed
m ajor inform ation technology investm ents required to accom plish these
plans. The council also serves as the supporting panel for inform ation
technology and provides recom m endations on proposed inform ation
technology investm ents to the C IC . W ith the support of this council, the
C hief Inform ation O fficer provides leadership and advice to the
A dm inistrator and other senior officials for inform ation technology plans,
policies, and standards, as w ell as for assessing returns on inform ation
technology investm ents in term s of m ission outcom es or support.
2.2.5.7 Inform ation Technology Security (ITS) C ouncil
The ITS C ouncil, co-chaired by the C hief Inform ation O fficer and the
C hief Infrastructure A ssurance O fficer (currently the A ssociate
A dm inistrator for M anagem ent System s), is responsible for the coordi-
nation of A gency unclassified and classified ITS efforts. W ith the sup-
port of this council, the C hief Inform ation O fficer and the A ssociate
A dm inistrator for M anagem ent System s provide support and advice to
the A dm inistrator and other senior officials for ITS.
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2.2.5.8 C hief Financial O fficer C ouncil
The C hief Financial O fficer C ouncil, chaired by the C FO , is responsible for
im proving financial and resource m anagem ent, strengthening com m uni-
cations, im proving coordination, and prom oting professional developm ent.
The council advises and coordinates the activities of the A gency on such
m atters as the developm ent and im plem entation of financial and budget
system s, the im provem ent of the quality of financial and resources infor-
m ation, financial data and inform ation standards, m anagem ent controls,
professional developm ent standards, and any other m atters that w ill facil-
itate financial and resources m anagem ent excellence.
2.2.6 Internal Senior M anagem ent Boards
To coordinate and support A gencyw ide m anagem ent in certain key
areas, N A SA has established internal Senior M anagem ent B oards,
w hich are chaired by one of N A SAs A ssociate A dm inistrators or, in
selected cases, by a designated senior A gency official. These boards
include, but are not lim ited to:
a. A dm inistrative Issues B oard
b. A gency Perform ance R eview B oard
c. C hief Inform ation O fficer R epresentatives B oard
d. Environm ental M anagem ent B oard
e. Equal Em ploym ent O pportunity B oard
f. Facilities R eview B oard
g. Flight A ssignm ent B oard
h. Integrated Financial M anagem ent B oard
i. M edical Policy B oard
j. O ccupational H ealth and Safety Executive B oard
k. Space Station U tilization B oard
2.3 Enterprise Management
N A SA has established the four Strategic Enterprises to function in pri-
m ary business areas for im plem enting N A SAs m ission and serving cus-
tom ers. Each Enterprise has a unique set of strategic goals, objectives,
and im plem enting strategies that address the requirem ents of the
A gencys prim ary custom ers.
2.3.1 Enterprise Associate Adm inistrators/Institutional Program O fficers
2.3.1.1 The Enterprise A ssociate A dm inistrators are accountable for delivering
program results to the N A SA A dm inistrator. A s such, they serve as the
stew ards, advocates, and chief executives of their respective
Enterprises, setting Enterprise priorities and strategies for achieving
them . In addition, the Strategic Enterprises provide program definition
(requirem ents, opportunities for cross-program efficiency, and synergy).
They are responsible for the safety and hum an health of their
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Enterprises activities, integrated Enterprise budget developm ent, pro-
gram resource allocation, perform ance assessm ent, policies and stan-
dards, and the im plem entation of N A SA policies.
2.3.1.2 The Enterprise A ssociate A dm inistrator is the senior official in the
Enterprise w ith principal responsibility for developing long-term strate-
gy and ensuring that the necessary capabilities are in place to m eet
both the near-term program objectives and the longer term goals.
2.3.1.3 A s the Enterprise leader, the A ssociate A dm inistrator determ ines w hat
the Enterprise does and w hy, w ith a specific focus on the requirem ents
of external custom ers. In this context, the Enterprise A ssociate
A dm inistrators are responsible for:
a. D eveloping Enterprise strategy, policy, and standards that fulfill the
A gencys goals and objectives
b. Form ulating program requirem ents and objectives
c. Providing advocacy for the Enterprise
d. Providing external/custom er interfaces
e. A llocating resources for the full cost of each program , including
personnel and facilities, w ithin the context of A gency strategic
determ inations
f. A ssessing program perform ance
g. Selecting projects
h. Serving as the N A SA internal custom er
i. M aking Lead C enter assignm ents for the Adm inistrators approval
j. O verseeing Enterprise education and public outreach
k. C oordinating interactions betw een the O ffice of M anagem ent and
B udget and N A SAs O ffice of the C hief Financial O fficer
l. C oordinating interactions betw een C ongress and N A SAs O ffice of
Legislative A ffairs
m . C oordinating all international partnership arrangem ents w ith the
O ffice of External R elations
2.3.1.4 The A ssociate A dm inistrators for Space Science, Earth Science, and
Life and M icrogravity Sciences and A pplications have oversight of
N A SAs scientific research program s. These A ssociate A dm inistrators
responsibilities in science research include strategic planning, im ple-
m entation and perform ance planning, the selection of m issions and
investigations, and the ongoing evaluation of research activities. The
A ssociate A dm inistrator for Life and M icrogravity Sciences and
A pplications is also responsible for all A gency health activities.
Enterprise A ssociate A dm inistrators are responsible for m anaging pro-
gram initiation, form ulation and integration, science m anagem ent, and
program oversight and perform ance assessm ent. The C enters are
responsible for program im plem entation on behalf of their respective
Enterprise A ssociate A dm inistrator (see Figure 23).
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2.3.1.5 W hen a Strategic Enterprise consists of m ultiple H eadquarters organi-
zations, a Lead A ssociate A dm inistrator is appointed w ho is responsi-
ble for setting policy and requirem ents guidance for that Enterprise. The
A ssociate A dm inistrator for Space Flight is the Lead A ssociate
A dm inistrator for the H um an Exploration and D evelopm ent of Space
(H ED S) Enterprise and is responsible for an integrated hum an explo-
ration and developm ent of space strategy. The A ssociate A dm inistrator
for Life and M icrogravity Sciences and A pplications reports to the
N A SA A dm inistrator and is a key m em ber of the H ED S Enterprise. In
this instance, the A ssociate A dm inistrator is not an Enterprise A ssociate
A dm inistrator, but has the full responsibilities of an Enterprise A ssociate
A dm inistrator for program m atic activities in the areas of life sciences,
agency health activities, m icrogravity sciences, and associated space
product and com m ercial developm ent.
2.3.1.6 To ensure alignm ent betw een program s and institutional capabilities, the
A dm inistrator w ill norm ally designate the Enterprise A ssociate
A dm inistrator for the predom inant activity at each C enter that C enters
Institutional Program O fficer. A s an Institutional Program O fficer, the
A ssociate A dm inistrator is responsible for ensuring that the C enter has
the capability to m eet its program m atic and functional com m itm ents, as
w ell as long-term m ission responsibilities, in a safe and effective m anner.
The Institutional Program O fficer/A ssociate A dm inistrator is also respon-
sible for im plem entation, conform ance, and the assurance of safe and
efficient functional operations. Enterprise A ssociate A dm inistrators serv-
ing as Institutional Program O fficers m ust have a broader perspective
than their individual Strategic Enterprises. In this m anagem ent capacity,
the Institutional Program O fficer w orks w ith the C enters, other Enterprise
A ssociate A dm inistrators, and Functional O ffices to:
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Strategy
Chief
Scientist
Implementation Evaluation
Consult on Science Enterprises
Planning, Programs, and Budgets
Assess Effectiveness of Policies
and Integrated Science Results
Enterprise
Associate
Administrator
Assess Compliance and
Performance Against Strategic Plan
Integrate Research Results
Program Assessment
Center
Scientist
Contribute to Science Plan
Development
Develop Project Science Plans with the
Science Community
Support External Investigations
Project Scientist Management
Conduct Successfully Proposed
Research
Lead Center*/
Program
Manager
Support Program Definition
Assess Technology Readiness
Develop Mission Alternatives
Manage Program Planning
Establish Project Structure
Manage Execution
* When required for enabling technology programs and flight and ground system development programs
Note: Bold type reflects primary management responsibilities.
Science Policy Development
Develop Enterprise Strategy
Develop Science Plan
Establish Program
Requirements
External Advocacy
External Coordination
Advisory Committee Interface
Cross-Enterprise/Agency
Coordination
Allocate Research/Program Budgets
Establish Science Priorities
Develop Research Campaigns
Select Research/Mission Proposals
Oversee International Partnering
Support Program Evaluation
Support Program Evaluation
Roles and
Responsibilities
Figure 23. Science M anagem ent Roles and Responsibilities
a. Provide safe and healthful w orkplaces and environm entally sound
w ork processes
b. Plan long-term institutional strategies
c. D eterm ine institutional and infrastructure investm ent requirem ents
d. Pursue integration and synergies, crosscutting strategies, and
investm ents across m ultiple C enters
e. A pprove institutional budgets proposed by the C enter
f. D evelop a long-term institutional investm ent strategy
g. D eterm ine m ajor adjustm ents to and tradeoffs am ong the program s
and institutions w ithin overall budget availability
h. A ssess the perform ance of the C enter in m eeting its m ission and
C enter of Excellence responsibilities
i. R eview Functional O ffice initiatives, as a m em ber of the
A dm inistrative Issues B oard.
2.3.1.7 Each Institutional Program O fficer also ensures a broad perspective by
providing the opportunity for all the Enterprises that have w ork at the
C enter to participate in institutional decision processes. These process-
es encom pass policy decisions, allocation of com m on resources,
approval of the C enters institutional operations budgets, and recom -
m endations on proposed capital investm ents, including determ ining
fund sources.
2.3.2 C enters and C enter D irectors
N A SAs C enters are responsible for the safety and occupational health
of their w orkforce and for the safe im plem entation of the A gency plans,
program s, and activities of the Strategic Enterprises. C enters of
Excellence and C enter m issions are tw o key concepts in the m anage-
m ent of N A SA . N A SAs C enter D irectors are responsible for program
m anagem ent and execution. They determ ine how Enterprise program s
and central services w ill be im plem ented. C enter D irectors m anage the
institution (including capability developm ent and m aintenance), m an-
age m ulti-Enterprise resources, im plem ent functional leadership and
central service activities, and im plem ent N A SA , Strategic Enterprise,
and A gency-level functional policies. In collaboration w ith A gency-level
Functional O ffices, the C enter D irectors w ill establish oversight and
evaluations of C enter functions through self-assessm ents, ISO 9000
audits, perform ance m etrics, or other requirem ents identified. The
C enter D irectors serve as both m em bers of the Senior M anagem ent
C ouncil and as heads of their respective C enters. In this latter role, they
have prim ary m anagem ent responsibility in three areas: program m an-
agem ent (determ ining how program s are accom plished), institutional
infrastructure (m aintaining and enhancing both hum an and physical
resources), and the assurance of the A gencys capabilities in assigned
C enters of Excellence.
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2.3.2.1 C enter M issions
C enter m issions identify the prim ary area of concentration of each
C enters capabilities. A C enter m ission is a long-term responsibility. The
C enter D irectors are responsible for building and m aintaining hum an
and physical resources to support their C entersm issions. Enterprise
program and project assignm ents are based on m ission designations.
The A dm inistrator assigns the C enter m issions. In im plem enting its m is-
sion, the C enter m ay capitalize on capabilities residing at supporting
C enters or outside of N A SA , as necessary, to provide the cost-effective
im plem entation of its m ission. D esignated C enter M ission A reas and
C enters of Excellence are listed in A ppendix A .
2.3.2.2 Lead C enter D irectors for Program s
2.3.2.2.1 Each N A SA program involving m ore than one C enter is assigned to a
Lead C enter for im plem entation. N A SA program Lead C enter assign-
m ents are selected by the Enterprise A ssociate A dm inistrator and
approved by the A dm inistrator. In m aking such assignm ents, the
Enterprise A ssociate A dm inistrators w ill consider C enter m ission and
C enter of Excellence responsibilities. (Lead C enter designations for
N A SAs current program s are listed in A ppendix C .) Lead C enter
D irectors have full program m anagem ent responsibility and authority.
They are fully accountable for ensuring that assigned program s are
m anaged to agreed-on schedule m ilestones, budget guidelines, tech-
nical requirem ents, and all safety and reliability standards.
2.3.2.2.2 The Enterprise A ssociate A dm inistrators m ust configure each program
so that it can be efficiently and effectively accom plished w ithin the
fram ew ork of Lead C enter assignm ents and funding allocations. The
level and num ber of Enterprise A ssociate A dm inistratorcontrolled
requirem ents m ust be consistent w ith safety, m ission success, custom er
expectations, and statutory and regulatory requirem ents. The Lead
C enter D irectors, in turn, establish supporting assignm ents for other
C enters (Supporting C enters), considering C enter m ission and C enter of
Excellence responsibilities. The C enter D irectors delegate m anagem ent
responsibility to the Program M anagers w ho report to them .
2.3.2.3 C enters of Excellence
2.3.2.3.1 C enter of Excellence designation represents exceptional A gency capa-
bilities in certain areas of science, engineering, or technology. These
capabilities include personnel, facilities, and tools and m ay reside at
m ore than one N A SA C enter. The exceptional capabilities a C enter of
Excellence represents are expected to serve the needs of the
Enterprises as w ell as N A SAs strategic objectives, and they are the
responsibility of the C enter D irector.
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2.3.2.3.2 A N A SA C enter designated as a C enter of Excellence is responsible for
planning and, as perm itted by available resources, m aintaining or aug-
m enting the personnel skills, facilities, and tools required to sustain its
area of excellence. A C enter of Excellences im plem entation plan m ust
be prepared at the C enter and approved by that C enters Enterprise
A ssociate A dm inistrator/Institutional Program O fficer. It w ill include
strategies for advocating, coordinating, collaborating am ong, and,
w here cost-effective, consolidating A gency capabilities supporting a
particular C enter of Excellence designation. A gency investm ent deci-
sions in such areas as facilities developm ent, hum an resource levels,
and skill m ix w ill consider and support such consolidations.
2.3.2.3.3 The Institutional Program O fficer is responsible for ensuring the viability
of the C enters of Excellence in keeping w ith N A SAs Strategic Plan.
N orm ally, C enter of Excellence issues, including plans to cover
resource shortfalls, w ill be resolved at the Strategic Enterprise/
Institutional Program O ffice level. H ow ever, significant adjustm ents in
C enter of Excellence assignm ents, personnel levels or skills, facilities,
funding, and tools are all A gency investm ent decisions to be recom -
m ended to the A dm inistrator by the C IC , supported for this purpose by
the Technology Leadership C ouncil.
2.3.2.3.4 Proposals to change or to designate new C enters of Excellence w ill be
based on annual assessm ents conducted by the C enter D irector, as w ell
as on review s involving corresponding external expertise, w hich m ust be
conducted every 3 years. C riteria used in assessm ents and review s of
C enters of Excellence w ill include record of perform ance, com petitiveness
w ith external sources of equivalent capabilities, adequacy of resources,
and extent of support for N A SAs Enterprises and strategic objectives.
2.3.2.4 Program and Project M anagers
The Program M anager ensures the m ost expeditious and cost-effective
im plem entation approach for a program , consistent w ith safety and taking
into account C enter of Excellence capabilities and C enter m ission assign-
m ents. Program M anagers are selected by, and report to, the Lead C enter
D irector. If m ore than one project exists w ithin a program , they are m anaged
by Project M anagers w ho report to the Program M anager. Project M anagers
are selected by the responsible C enter D irector. A general m odel for the
roles and responsibilities for Strategic Enterprise program m anagem ent is
show n in Figure 24. For program s and projects covered under N PD 7120.4
and N PG 7120.5, refer to these docum ents for the detailed responsibilities
and procedures for specific program and project m anagers.
2.3.2.5 C enter Scientists
W hile overall science m anagem ent and direction resides w ith the sci-
ence Enterprise A ssociate A dm inistrators, as discussed in section 2.3.1,
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flight and ground system s developm ent and operations m anagem ent
responsibilities are delegated to the C enters. N A SAs C enter scientists
provide enabling support to the broader space research com m unity by
serving as project scientists and operating unique C enter facilities. In
addition, C enter scientists m ay com pete w ith external researchers for
funding to conduct original research of their ow n (including instrum ent
developm ent) that also m aintains their scientific currency. A gency poli-
cies and guidelines for science program m anagem ent are provided in
N PD 1080 and N PG 1080, currently under developm ent.
2.4 Func tional Management
2.4.1 The H eadquarters Functional O ffice A ssociate A dm inistrators and
O fficials-in-C harge are the A dm inistrators principal advisors for their
areas of responsibility. They establish plans to im prove functional per-
form ance across the A gency, dissem inate internal A gency policies,
and, in collaboration w ith the Enterprise A ssociate A dm inistrators and
C enter D irectors, m aintain sufficient insight into Enterprise and
Institutional Program O ffice activities to ensure that they are conducted
in accordance w ith all statutory, regulatory, and fiduciary responsibili-
ties. In addition, these officials advise the A dm inistrator and senior m an-
agers of potential efficiencies and required com pliance to be gained by
im plem enting proposed functional initiatives.
2.4.2 H eadquarters Functional O ffices include the O ffices of the C hief
Financial O fficer, C hief Engineer, C hief Inform ation O fficer, and C hief
Scientist, as w ell as H eadquarters O perations, Equal O pportunity
Program s, H um an R esources and Education, G eneral C ounsel,
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Strategy
Enterprise
Associate
Administrator
Implementation Planning Implementation and Evaluation
Coordinate Cross-Enterprise Activities
Integrate Enterprise Programs
Select Projects and Lead Centers
Allocate Budget to Programs
Approve Implementation Plans
Assess Compliance and
Performance Against Program
Requirements and Customer
Expectations
Lead Center
Director*
Integrate Strategies with
Institutional Capabilities
Develop Centers of Excellence
Strategies
Ensure Compliance to Policy/
Standards
Maintain Dual Path for Quality
and Independent Assessment
Program
Manager
Support Headquarters
Formulation
Conduct Feasibility Planning
Implement Programs
Allocate Budgets to Projects
Project Oversight
Report Status
Control Program Changes
Project
Manager
Develop Specific Proposals
Innovate
Assess Technology Readiness
Develop Alternatives
Establish Contracts and Support
Agreements
Note: Bold type reflects primary management responsibilities.
* Center Directors with projects supporting programs perform functions similar to those of lead Center Directors, but at the project
level at their individual centers.
Develop Enterprise Strategy
Customer Interface
Establish Program
Requirements/Metrics
External Advocacy
Long-Term Investment Strategy
Formulate Programs
Integrate Institutional Resources with
Program Needs
Develop Implementation Plans (Total
Center)
Coordinate Cross-Center Activities
Select Program Manager
Manage Program Planning
Develop Program Resource Needs
Establish Project Requirements and
Performance Metrics
Balance Requirements/Resources
Implement Projects
Administer Contracts
Manage Supporting Tasks
Report Metrics
Roles and
Responsibilities
Figure 24. Enterprise Program M anagem ent Roles and Responsibilities
Procurem ent, External R elations, M anagem ent System s, Sm all and
D isadvantaged B usiness U tilization, Legislative A ffairs, Public A ffairs,
Safety and M ission A ssurance, and Policy and Plans. The A ssociate
A dm inistrator for M anagem ent System s serves as the A gencys C hief
Infrastructure A ssurance O fficer.
2.4.3 Functional O ffice activities fall into any or all of three m ajor categories:
functional leadership, staff to the A dm inistrator, and central services
across the A gency. The O ffice of H eadquarters O perations w ill be
responsible for m atters pertaining to the planning, execution, and eval-
uation of the m anagem ent of the H eadquarters institution. Figure 25 is
an overview of N A SAs Functional O ffice roles and responsibilities.
2.4.3.1 A s functional leaders, Functional O ffice A ssociate A dm inistrators and
O fficials-in-C harge focus on im proving processes, stim ulating efficiency
in the perform ance of activities related to the program s, and providing
consistency, w hen consistency serves A gency m anagem ent
objectives, across the Strategic Enterprises. They oversee the perform -
ance of their particular functions across all of the C enters, as w ell as pro-
vide liaison to external organizations perform ing sim ilar functions and
stakeholders w ho establish G overnm entw ide policy and requirem ents.
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Functional Leadership
Intent
Products
Customer
Principal
Activities
Mode of
Operation
Examples
Efficiency
Effective Support to
Agency Mission
Central Service
Efficiency
Policy/Standards
Budget Guidance
Functional Leadership Plans
Assessments/Reports
Improvements
Standards and Architecture
Training
Discrete Service
Enterprise Staff Support
Enterprises/Centers Enterprises/Centers
Coordination and Integration
Establish Policies
Insight and Review
Internal Focal Point
External Liaison
Analysis and Reporting
Facilitate Standards
Development
Facilitate Capital Investment
Requirements Determination
and Consolidation
Assessment
Support
Value-Added Policy and
Standards
Extensive Involvement of
Customers and Stakeholders,
Including Enterprises and Centers
Customer Responsiveness
Co-located (Staff Only)
Negotiate Implementation Plans
Negotiate Performance Plans
Human Resources Planning
Development of NASAs
Financial Management Planning
System
Environmental Management and
Coordination
Facilities Management
PAO (Headquarters Only)
Communications Network
Agency Training and Education
Staff to the Administrator
Cross-Enterprise Balance and
Synergy
Ensure Consistent Message to
External Customers
Statutory Compliance and
Accountability
Recommendations
Assessments and Reports
Communiqus
Functional Initiatives
Administrator
Coordination and Planning
External Liaison
Analysis and Reporting
Independent Assessment
Functional Initiative Sponsorship
and Direction
Independent Reporting to
Administrator, Coordinated with
Enterprises as Appropriate
Coordinating Public Affairs
Activities and Events
Legislative Hearing Coordination
Agency Strategic and
Performance Plan Development
Figure 25. Functional O ffice Roles and Responsibilities
2.4.3.2 C entral services for specific functional activities are offered to gain effi-
ciencies and to elim inate redundancy across the A gency. The decision
to provide a function centrally (for exam ple, A gencyw ide payroll pro-
cessing) is m ade by the A dm inistrator, on the C IC s recom m endation, on
a case-by-case basis show ing a clear benefit to the A gency. A
Functional O ffice or Strategic Enterprise m ay provide central services.
Such services include staff support, training, internal com m unications,
and consolidated m ainfram e com puting operations. The C IC w ill recom -
m end a control m echanism (such as a m em orandum of understanding)
for the service provision. O nce established, the service provision w ill be
evaluated annually as part of the budget process and continued on the
basis of cost-effective support to A gency custom er requirem ents.
2.4.3.3 Principal C enters m ay be established to lead particular functional leader-
ship operations. The Functional O ffice selects the C enter that can best
execute the function on behalf of N A SA and subm its that selection, w ith
the concurrence of the Institutional Program O ffice A ssociate
A dm inistrator and the A ssociate A dm inistrator for H eadquarters
O perations, to the D eputy A dm inistrator for approval. D elegations of
authority to conduct these responsibilities are negotiated and docum ent-
ed w ith m em oranda of understanding, signed by the Functional O ffice
A ssociate A dm inistrator or O fficial-in-C harge, the Institutional Program
O ffice A ssociate A dm inistrator, the A ssociate A dm inistrator for
H eadquarters O perations, and the C enter D irector. The m em oranda of
understanding m ust contain provisions for direction and funding flow , as
w ell as perform ance review . The Principal C enter D irector, in turn, m ay
establish supporting assignm ents for other C enters (Supporting C enters)
considering their particular functional capability. The m em oranda of
understanding m ust stipulate that budget processes w ill follow guidance
provided by the H eadquarters O ffice of the C hief Financial O fficer and
O ffice of H eadquarters O perations. (Principal C enter designations for
N A SAs current program s and processes are listed in A ppendix B .)
2.5 Crossc utting Proc ess Management
2.5.1 N A SA recognizes that the broad application of certain operating princi-
ples can enhance the returns on its w ork tow ard diverse program m atic
and functional objectives. A s a fram ew ork for operating in accordance
w ith these principles, N A SA has grouped the follow ing m ajor activities
into four C rosscutting Processes:
a. M anage Strategically
b. Provide A erospace Products and C apabilities
c. G enerate K now ledge
d. C om m unicate K now ledge
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2.5.2 The A dm inistrator assigns stew ardship responsibilities for the
C rosscutting Processes. These responsibilities have been assigned to:
A ssociate A dm inistrator for Policy and PlansM anage Strategically
C hief EngineerProvide A erospace Products and C apabilities
C hief ScientistG enerate K now ledge
C hief ScientistC om m unicate K now ledge
2.6 Manage Strategic ally
2.6.1 N o N A SA organization can succeed for long unless N A SA succeeds.
Interorganization coordination and collaboration are essential to defin-
ing com m on strategic goals and operating principles, im plem entation
planning, and achieving m ission success. To bring about A gencyw ide
coordination and collaboration am ong all of its organizational units, the
A gency designed the Strategic M anagem ent System that is described
in this N A SA Procedures and G uidelines directive (N PG 1000.2).
2.6.2 The stew ardship of N A SAs strategic m anagem ent process is the respon-
sibility of the O ffice of Policy and Plans. The process is im plem ented by
all N A SA organizations as indicated in this directive (N PG 1000.2).
2.6.3 The scope of N A SAs com m itm ent to m anaging strategically is far-
reaching and all-inclusive. The process includes the roles and respon-
sibilities of A gency and Enterprise m anagem ent as w ell as Functional
O ffices (see N PG 1000.3).
2.6.4 The O ffice of Policy and Plans is responsible for scheduling and coor-
dinating an orderly, w ell-docum ented, and inclusive A gency process to
update every 3 years the A gencys Strategic Plan and, as needed, its
strategic m anagem ent guidelines (N PG 1000.2). This office also collab-
orates w ith the O ffice of the C hief Financial O fficer to define and apply
assessm ent tools to evaluate its perform ance.
2.7 Provide Aerospac e Produc ts and Capabilities
N A SA conducts aerospace program s to provide aeronautical and
space technology to researchers, industry, and the general public.
Provide A erospace Products and C apabilities is N A SAs process for
delivering system s (for exam ple, aeronautics, space and ground),
technologies, data, and operational services to N A SA custom ers.
M anagem ent policies, procedures, and guidelines for the form ulation,
approval, im plem entation, and evaluation of N A SA program s and proj-
ects are provided in N PD 7120.4 and N PG 7120.5.
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2.8 Generate Knowledge
N A SA conducts and supports basic and applied research to extend the
boundaries of know ledge of science, technology, and engineering, to
capture new know ledge in useful and transferable m edia, and to share
new know ledge w ith custom ers. This C rosscutting Process provides a
fram ew ork for ensuring that the research is consistent w ith the A gencys
strategic plans and that the quality of the research is m aintained to the
highest standards. D irectives and guidelines for the G enerate
K now ledge process w ill be in N PD 1080.x and N PG 1080.x.
2.9 Communic ate Knowledge
The C om m unicate K now ledge process coordinates, integrates, dissem i-
nates, and shares consistent inform ation and experiences about the con-
tent, relevance, results, applications, and excitem ent of N A SAs m ission of
research, developm ent, education, and exploration. This process w ill be
described in greater detail in N PD 1090.x and N PG 1090.x.
2.10 NASA and Its Employees: Mutual Responsibilities
The success of N A SAs strategic plans, perform ance plans, and
Strategic M anagem ent System , depends on the active support of all
A gency em ployees. N A SA m anagem ent conducts the A gencys plan-
ning activities in an inclusive, open, and w ell-docum ented m anner. A ll
em ployees, including m anagers and executives, are responsible for
fam iliarizing them selves w ith their respective A gency, Enterprise,
Functional O ffice, and C enter plans. N A SA m akes an investm ent w ith
each em ployee. Em ployee developm ent is an essential form of capital
investm ent for the A gency.
2.11 Offic e of Inspec tor General
N A SAs O ffice of Inspector G eneral (O IG ) is an independent organiza-
tion w ith responsibility to detect fraud, w aste, abuse, and m ism anage-
m ent, w hile prom oting econom y, efficiency, and effectiveness in the
A gencys program s and operations. The O IG conducts audits, crim inal
investigations, inspections, and assessm ents. The O IG staffs are locat-
ed at N A SA H eadquarters, all N A SA C enters, the Jet Propulsion
Laboratory, and som e ancillary offices. A dditional inform ation about
O IG activities can be found in N PD 9800.1.
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CHAPTER 3
STRATEGIC PLANNING
N A SAs purpose as an A gency of the U .S. G overnm ent is defined by its
enabling statute, the N ational A eronautics and Space A ct of 1958, as
am ended. This and other Federal statutes and regulations elaborate on
the kinds of program s C ongress and the President have directed N A SA
to carry out, as w ell as the regulations that govern how N A SA m anages
the national resources entrusted to it by the A m erican people. N ot long
after it w as established, the A gency undertook the first in a series of
long-range plans to ensure that it used those resources effectively, not
only to m eet current expectations, but also in anticipation of future
needs. These long-range plans evolved into the N A SA Strategic Plan.
3.1 The Government Performanc e and Results Ac t of 1993
In 1993, C ongress passed the G overnm ent Perform ance and R esults
A ct (G PR A ) to im prove the confidence of the A m erican people in the
capability of the Federal G overnm ent, by system atically holding Federal
agencies accountable for achieving program results . . . [by] setting
program goals, m easuring program perform ance against those goals,
and reporting publicly on their progress.G PR A requires the follow ing
of Federal agencies (including N A SA ):
a. D evelop periodic A gency strategic plans, setting forth N A SAs m is-
sion, long-term goals, and associated resource requirem ents. The
Strategic Plan is to cover a period of not less than 5 years forw ard
from the fiscal year in w hich it w as subm itted.U pdated Strategic
Plans m ust be subm itted every 3 years.
b. Prepare and subm it to the President and C ongress annual
perform ance plans that establish perform ance goals, m easurable
objectives, and associated resources required to achieve long-
term goals.
c. Subm it annual perform ance reports that set forth the perform ance
indicators established in the A gency perform ance plan . . . along
w ith the actual program perform ance achieved.W hen perform -
ance goals have not been achieved, explanations should be pro-
vided, along w ith plans for m eeting the unattained goals, or rea-
sons for revising perform ance goals.
3.2 NASA Strategic Planning Requirements
In response to G PR A , the Strategic Plans developed for the A gency and
the Strategic Enterprises w ill contain:
a. A com prehensive m ission statem ent covering N A SAs m ajor func-
tions and operations
b. G eneral goals and objectives, including outcom e-related goals
and objectives, for m ajor functions and operations
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c. A description of how the goals and objectives are to be achieved
d. A n identification of those key factors, external to the A gency and
beyond its control, that could significantly affect the achievem ent of
the general goals and objectives
e. The program evaluations used in establishing or revising general
goals and objectives
3.3 NASAs Strategic Plan
N A SAs Strategic Plan articulates the A gencys vision, m ission, goals,
and objectives, as w ell as A gencyw ide strategies for achieving them . In
so doing, it gives direction to the w ork of all N A SA organizations and
em ployees. Strategic planning is a continuous process. N A SAs
Strategic Plan is fully review ed and updated at least every 3 years.
Interim adjustm ents m ay be m ade as needed, in parallel w ith the annu-
al perform ance planning process (see Figure 31).
3.4 Enterprise Strategic Plans
Enterprise Strategic Plans w ill elaborate on their respective m ission and
goals, in alignm ent w ith N A SAs Strategic Plan, w ith detailed objectives,
im plem enting strategies, and brief descriptions of their principal pro-
gram s and/or processes. They m ust be signed by their respective
Enterprise A ssociate A dm inistrators. Enterprise Strategic Plans w ill be
review ed by the O ffice of Policy and Plans for consistency w ith N A SAs
Strategic Plan and other Enterprise Strategic Plans. Enterprise Strategic
Plans are review ed by the Senior M anagem ent C ouncil and approved
by the A dm inistrator. To ensure that they rem ain current, Enterprise
plans w ill be review ed and updated as part of any update to the N A SA
Strategic Plan, but in any event, not less than every 3 years.
3.5 Capital Investment Planning
3.5.1 N A SA has established an A gencyw ide capital investm ent planning
process because the size, scope, tim e horizon, and technical nature of
these investm ents are critical to long-term A gency viability. In addition,
such investm ents m ust be balanced across N A SA organizations and
prioritized on an A gencyw ide basis, consistent w ith external financial
constraints and partnership opportunities. This planning process also
supports N A SA com pliance w ith related Federal guidance on
capital/asset investm ents (O ffice of M anagem ent and B udget (O M B )
C ircular A -11, Part 3).
3.5.2 C apital investm ent planning represents a key activity in the strategic
m anagem ent process and an im portant elem ent of N A SAs 5-year finan-
cial planning and budget activities. N A SAs C apital Investm ent C ouncil
(C IC ) advises the A dm inistrator during preparation of the A gencys
Program O perating Plan (PO P) guidance at the beginning of the
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im plem entation planning process and during the annual budget devel-
opm ent process. The council m eets as often as the chair deem s appro-
priate. Its m eetings w ill exam ine interrelated A gencyw ide issues, such
as inform ation technology and security, critical infrastructure protection,
hum an resources, technical capabilities, high-risk generic technolo-
gies, Functional O ffice initiatives, and facilities.
3.5.3 The C IC ensures the integration of Enterprise, C enter of Excellence,
and other investm ent plans; it review s and recom m ends investm ents
and provides guidance to N A SA entities for subsequent im plem enta-
tion. The council also exam ines such proposals as A gency-level dow n-
sizing or restructuring.
3.6 Func tional Offic e Planning
3.6.1 The Functional O ffices form ulate Functional Leadership Plans, w ith
Enterprise support, to im plem ent the A gencys Strategic Plan, im prove
A gency m anagem ent, and respond to new external direction. A
Functional Leadership Plan establishes the overall purpose and direc-
tion of functional activities, including goals, objectives, and perform -
ance m etrics or indicators used to assess success. It is based on the
Enterprise Strategic Plans, self-assessm ents, and externally m andated
requirem ents. Each plan m ust include a general description of pro-
posed and statutorily required functional initiatives deem ed necessary
to im plem ent the A gency Strategic Plan and statutory m andates. The
Senior M anagem ent C ouncil m ust receive a presentation of and concur
w ith the Functional Leadership Plans, and then the A dm inistrator m ust
approve them . The plans are updated, review ed, and approved again
as required by the A dm inistrator.
3.6.2 Follow ing presentation to and concurrence w ith the Functional
Leadership Plans by the Senior M anagem ent C ouncil and approval by
the A dm inistrator, decision and guidance are to be docum ented for
inclusion in the N A SA PO P guidance and, in the case of new policies,
for form al coordination and dissem ination. The Functional O ffices also
ensure that the appropriate m etrics or perform ance indicators are
developed to evaluate function perform ance.
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CHAPTER 4
IMPLEMENTATION PLANNING
4.1 Performanc e and Budget Planning Proc ess
Im plem entation planning ensures that the detailed planning, resources,
and perform ance expectations are aligned to support the achievem ent
of the N A SA and Enterprise Strategic Plans. Im plem entation planning is
based on the previous cycle of N A SA and Enterprise Strategic Plans,
capital investm ent planning, the 5-year A gency budget, and the results
of the ongoing perform ance evaluation process. Essential elem ents of
im plem entation planning include program planning to establish techni-
cal, schedule, and cost, as w ell as perform ance criteria at all m anage-
m ent levels. N A SAs budget planning process is the vehicle for inte-
grating these im plem entation plans.
4.2 Five-Year Budget Planning Overview
4.2.1 N A SAs budget planning is an ongoing process that incorporates a
detailed analysis of current requirem ents w ith outyear projections of
funding needs. Each budget cycle is initiated by guidance from O M B
that includes planning estim ates, as w ell as policy guidance for the
preparation of the A gencys budget request. This broad guidance uses
the 5-year runout of the Presidents budget request for N A SA before
C ongress at the tim e, and it updates the total to reflect further econom -
ic policy or program decisions that m ay have been m ade.
4.2.2 A gency guidance for allocations am ong the Strategic Enterprises, pri-
orities for decisionm aking and tradeoffs, and any broad strategy issues
are developed to initiate both the internal planning and budget process-
es. The A dm inistrator issues this guidance, w ith full participation and
advice of the C IC , through the A gency C FO . The C FO and C om ptroller
then integrate the A dm inistrators guidance w ith m ore detailed pro-
gram m atic and funding guidance provided by the Strategic Enterprises
and the Functional O ffices. The m ultiyear budget estim ates, program
assum ptions, and strategic direction establish a baseline for planning
and budget form ulation activities and are distributed as guidelines to
the N A SA C enters.
4.2.3 R esponding to Program O perating Plan (PO P) guidance from the C FO ,
the C enters assess their program planning and develop integrated
resource requirem ents w ith the assistance of their respective
Institutional Program O ffices. They review these requirem ents w ith the
Lead C enters and incorporate Lead C enter decisions. The Lead
C enters subm it integrated resource recom m endations to their
Enterprise A ssociate A dm inistrators and Institutional Program O fficers
for integration into the A gencys annual subm ission of its 5-year budg-
et. C oordination am ong the Strategic Enterprises and the Functional
O ffices enables a com prehensive A gency budget subm ission that is
reflected in Program C om m itm ent A greem ents, Program and Project
Plans, and institutional planning.
4.2.4 A s the budget form ulation process proceeds, decisions m ust be m ade
about activities that have been form ulatedfor exam ple, w hether they
can be afforded w ithin the guideline level and those that w ill be pro-
posed as over-guideline activities. Each Strategic Enterprise m ust justi-
fy the relevance of the requested program s to the N A SA and Enterprise
Strategic Plans. N ew initiative candidates m ust be prioritized. The
approval of such initiatives for inclusion in the A gency budget general-
ly is subject to their having reached an appropriate stage of m aturity in
the form ulation processes outlined in N PG 7120.5, as applicable.
4.2.5 In their capacity as principal advisors to the A dm inistrator in their
respective subject areas, the C hief Scientist, C hief Inform ation O fficer,
and C hief Engineer w ill review the A gency budget proposals and eval-
uate them for science, inform ation system s, and engineering m erit.
4.2.6 The final budget request transm itted to O M B reflects this decision
process for the entire A gency. The budget process w ill be com patible
w ith N A SAs Strategic Plan. The content of the budget request describes
the w ay in w hich the A dm inistrator plans to achieve progress tow ard
m eeting the goals and objectives that appear in the N A SA Strategic Plan
w ithin the m ultiyear funding allow ance available. The A dm inistrator
approves the final 5-year budget subm ittal (see Figure 41).
4.3 Performanc e Planning
G PR A requires the subm ission of an A gency Perform ance Plan, follow -
ing the transm ittal to C ongress of the Presidents budget. This annual
Perform ance Plan sets out m easurable goals that define w hat w ill be
accom plished during a fiscal year. The goals should reflect a level of
accom plishm ent com m ensurate w ith the resources requested and sub-
sequently funded. For a fiscal year, at least tw o iterations of N A SAs
annual Perform ance Plan are prepared: an initial plan (subm itted along
w ith the N A SA budget request to O M B ) and a final plan that reflects
budget, policy, and program m atic decisions and is consistent w ith the
Presidents budget. A final plan revised to reflect congressional action
on an agencys budget request is not required by G PR A , but m ay be
subm itted by N A SA , if necessary, early in the new fiscal year.
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4.4 Developing and Issuing Guidanc e
The developm ent of im plem entation guidelines flow s from the approval
of the A gency and Enterprise Strategic Plans and approved Functional
Leadership Plans. A nnually, the N A SA A dm inistrator issues guidance to
the Enterprise A ssociate A dm inistrators and the Functional O ffice
A ssociate A dm inistrators and O fficials-in-C harge, consistent w ith those
plans. The Strategic Enterprises and Functional O ffices, in turn, trans-
late the A dm inistrators guidance into a set of technical, m anagerial,
and budgetary guidelines.
4.4.1 Agency G uidance
4.4.1.1 The A dm inistrators guidance initiates the im plem entation planning
cycle. This guidance is developed taking into account the results of the
prior-year planning cycle, new guidance from O M B , and any significant
changes in the A gencys external and/or internal environm ent. The
N A SA A dm inistrators guidance w ill also be influenced by policy and
budget recom m endations to the President from the N ational Science
and Technology C ouncil and prelim inary discussions w ith C ongress. In
developing N A SAs PO P guidance, the A dm inistrator establishes first-
order priorities for program content, also giving consideration to infor-
m ation received from senior m anagem ent.
Provides
annual
guidance for
Agency
budget and
performance
planning
Provides
capital
investment
and further
strategic
guidance
Provides
preliminary
guidance
Functional
Offices provide
guidance
Preliminary program
allocations and
guidance
Provide guidance
inputs to Enterprise
Integrates and issues
annual budget and
performance
guidance
Functional
Offices provide
input/issues
CFO issues integrated Agency guidance
Program and institutional
allocations and guidance
Integrate Center
submits
Forward submits to
other Enterprises
or Functional
Offices
Provide feedback on
submits to supporting
Centers
Build POP
submits
Iterate inputs with
Lead Centers
Prepare final
input to
Enterprise/IPOs
Integrate
Enterprise/Functional
Office inputs
Identify Issues
Resolve internal issues
Develop Enterprise
Submit
Iterate issues
Develop recommendations
Adjusts request to respond
to CIC issues/direction
Approve or
direct revision
Submit to
OMB
Develop Agency budget and
performance recommendations
Revise per Administrator decisions
Administrator Capital
Investment
Council
CFO Functional/
Staff Offices
Enterprises/IPOs Supporting
Centers
Lead Centers
Figure 41. Im plem entation: N ASAs Perform ance and Budgeting Planning
32
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4.4.1.2 O n behalf of the A dm inistrator, the N A SA O ffice of the C hief Financial
O fficer (C FO ) integrates the budget guidance from O M B , the
A dm inistrators guidance, the specific program m atic guidance from the
Enterprises, institutional guidance from the Institutional Program O ffices,
and guidance from Functional O ffices into the integrated N A SA PO P
guidance. The resulting PO P guidance w ill contain directions for prepar-
ing and subm itting budget and Perform ance Plan data, including for-
m ats and due dates. This guidance reflects prior-year budget plans and
capital investm ent decisions docum ented by the C IC . It also includes
additional guidance for potential new initiatives, an investm ent profile for
ongoing program s, perform ance goals, and associated m etrics.
4.5 Performanc e and Budget Dec isionmaking Proc ess
4.5.1 Enterprise D ecisionm aking
The Strategic Enterprises integrate program planning and resource
planning during the budget process. The Enterprises m ake a series of
prelim inary program decisions in response to changes in funding, new
program em phases, and ongoing perform ancedecisions that are
reflected in the PO P guidance to the C enters. O nce the Enterprise
offices have received their C entersbudget requirem ents in response to
the PO P call, they w ork w ith their Lead C enters to balance anticipated
resources w ith activities identified during im plem entation planning. This
w ill entail integration and adjustm ent of C enter im plem entation plans
w ith Enterprise custom er requirem ents and expected resources. The
Institutional Program O ffices are responsible for forw arding funding
requirem ents and corresponding im plem entation plans from the
C enters to the appropriate Functional O ffices. This assists the
Functional O ffices in identifying needs for conflicts of a functional or
institutional nature. The Functional O ffices are responsible for advising
and m aking recom m endations to the Institutional Program O ffices on
the C enter budget subm issions. Functional O ffice review s m ay also be
used to develop associated perform ance m easures or indicators.
Enterprise A ssociate A dm inistrators then reallocate resources am ong
program s and revise perform ance requirem ents as necessary to estab-
lish perform ance baselines. This integrated package of perform ance
objectives and resource requirem ents is subsequently provided to the
A dm inistrator, through the O ffice of the C hief Financial O fficer.
4.5.2 Functional O ffice Im plem entation Planning
Functional O ffice im plem entation planning defines activities required to
im plem ent the Functional Leadership Plans (described in Section 3.6). In
collaboration w ith the Strategic Enterprises and C enters, the Functional
O ffices ensure that A gency activities are conducted in accordance w ith
all statutory and regulatory requirem ents and fiduciary responsibilities.
4.5.2.1 Functional O ffice initiatives are efforts developed or sponsored by
Functional O ffices to m eet new requirem ents, im prove a current
process or procedure, adapt to externally im posed m andates, or
recognize evolving functional standards or trends. Such initiatives can
reasonably be expected to have a significant A gencyw ide im pact on
personnel, resources, or organizations outside the Functional O ffice
developing or sponsoring the initiative. B ecause the cum ulative im pact
of functional initiatives on the A gencys program and institutional
resources m ay be substantial, proposed functional initiatives require
thorough A gency discussion and review prior to approval. The heads of
Functional O ffices developing initiatives likely to have a significant
A gencyw ide im pact on personnel, resources, or organizations outside
the originating Functional O ffice m ust m eet w ith the affected organiza-
tion(s) to determ ine w hether agreem ent on the initiatives im plem enta-
tion can be reached. If the affected organizations reach agreem ent,
w hich m ust have the docum ented concurrence of the cognizant
Institutional Program O fficers and/or O fficials-in-C harge, im plem enta-
tion shall proceed in accordance w ith the agreem ent.
4.5.2.2 If agreem ent is not reached, the Functional O ffice shall prepare a
statem ent of need, along w ith an estim ate of the costs and a projection
of the benefits of the initiative, and subm it this statem ent to the C IC for
review . The A dm inistrative Issues B oard serves as staff to the C IC for
these review s and m ay, for significant initiatives, request a m ore
detailed im plem entation plan, including, as appropriate, the scope,
resource requirem ents (hum an, financial, and physical), a schedule, the
im pact on the C enters and Enterprises, the potential im pact on other
proposed or ongoing activities, and the expected return on investm ent.
The A dm inistrative Issues B oard m ay also ask those Enterprises or
C enters that do not agree to the initiatives im plem entation for their
analyses of the im pacts on resources, operations, or other Enterprise-
or C enter-related activities.
4.5.2.3 The C IC ensures the integration of requirem ents w ith the support of the
A dm inistrative Issues B oard. The C IC also prioritizes funding to be
included in the budget guidance during the annual budget developm ent
and review cycle. If the C IC supports the initiative, the C IC w ill recom -
m end the proposal to the A dm inistrator for approval and integration into
N A SAs budget request. The C IC m ay recom m end to the A dm inistrator
that the proposing office create a Program C om m itm ent A greem ent,
w hich w ill define the Program M anagem ent C ouncils review require-
m ents. Program C om m itm ent A greem ents w ill be signed by the propos-
ing office A ssociate A dm inistrator or O fficial-in-C harge and the
A dm inistrator after form ulation and prior to im plem entation. If the C IC
does not support the initiative, the proposing A ssociate A dm inistrator or
O fficial-in-C harge m ay appeal directly to the A dm inistrator.
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4.5.2.4 R equired initiatives originating from external requirem ents or from the
A dm inistrators direction shall be review ed by the C IC , w ith support
from the A dm inistrative Issues B oard, for im pact and im plem entation
issues only.
4.5.3 Agency Perform ance Plan and Budget Subm ission
4.5.3.1 N A SAs annual Perform ance Plan integrates the perform ance plans pro-
vided by the A gencys Strategic Enterprises. C onsistent w ith G PR A
requirem ents, this plan includes:
a. Perform ance goals
b. Level of perform ance to be achieved during the budget year
c. Specific nonprogram m atic actions planned w ithin the tim efram e
and fiscal scope of the proposed budget
d. Perform ance indicators to m easure or otherw ise evaluate A gency
perform ance
4.5.3.2 The annual goals, perform ance objectives, and associated inform ation
included in this plan w ill be grouped by Strategic Enterprise and
C rosscutting Process.
4.5.3.3 C rosscutting Process perform ance targets and indicators m ust be
developed and updated, if necessary, in parallel w ith the other per-
form ance planning activities of the A gency.
4.5.3.4 The O ffice of the C hief Financial O fficer coordinates the integration of
the A gency Perform ance Plan, the Enterprise Strategic Plans, and the
Functional Leadership Plans w ith the A gencys 5-year budget. Each
Enterprise or Functional O ffice, as appropriate, presents its recom -
m ended resources and Perform ance Plan targets to the C IC . The C IC
supports this decision process as the principal advisory group to the
A dm inistrator in resolving A gency issues, prioritizing activities (pro-
gram s, capital investm ents, and Functional O ffice initiatives), and dis-
tributing resources am ong the Enterprises. The C IC develops an inte-
grated recom m endation, w hich is then provided to the A dm inistrator
and the Senior M anagem ent C ouncil. The A dm inistrators decisions,
taking into account N A SAs current Strategic Plan, form the basis of the
A gencys 5-year budget request and Perform ance Plan that are to be
subm itted to O M B .
4.5.3.5 A ll program planning for the upcom ing fiscal year is updated or revali-
dated follow ing the subm ission of the A gency budget to O M B . The
Enterprises w ork w ith their Lead C enters to balance anticipated
resources w ith program and institutional planning. This m ay entail the
adjustm ent of C enter Im plem entation Plans, Program C om m itm ent
A greem ents, and Program and Project Plans as necessary.
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4.5.4 C enter Im plem entation Planning
4.5.4.1 C enter im plem entation planning integrates program m atic direction,
resources availability, functional needs, and institutional capabilities to
achieve strategic plans. The C enter Im plem entation Plans define the rela-
tionship of the Agency and Enterprise strategic plans to the C entersm is-
sions, C enter of Excellence responsibilities, program -specific assignm ents,
and support activities. These plans also ensure alignm ent of the institution-
al, program , and functional activities at the C enters w ith the Enterprise
(Lead C enter, Supporting C enter) and functional (Principal C enter) assign-
m ents. The C enter Im plem entation Plans should be consistent w ith corre-
sponding C enter Program and Project Plans and coordinated during
preparation w ith the appropriate Functional O ffices. The plans m ust be
updated as necessary to reflect current budget and program realities.
4.5.4.2 Institutional Program O ffices are responsible for approving the C enter
Im plem entation Plans, w ith the concurrence of all Enterprise A ssociate
A dm inistrators associated w ith the C enter. The Enterprise A ssociate
A dm inistrators approve the perform ance and budget decisions of their
respective C enters, ensuring that the C enter Im plem entation Plans sup-
port the Enterprise Strategic Plan and budget in force at the tim e they
are issued. The Senior M anagem ent C ouncil review s the C enter
Im plem entation Plans annually.
4.6 Management and Employee Performanc e Planning
4.6.1 Enterprise Associate Adm inistrator Perform ance Plans
Each Enterprise A ssociate A dm inistrators Perform ance Plan is executed
annually, for the upcom ing year, as a docum ented agreem ent betw een
the A dm inistrator and the respective Enterprise A ssociate A dm inistrator.
This planning requirem ent also applies to the A ssociate A dm inistrator for
the O ffice of Life and M icrogravity Sciences and A pplications.
4.6.2 Functional O ffice A ssociate A dm inistrator and O fficial-in-C harge
Perform ance Plans
A Perform ance Plan for each Functional O ffice A ssociate A dm inistrator
and O fficial-in-C harge is also executed annually, for the upcom ing year,
as a docum ented agreem ent betw een the A dm inistrator and the respec-
tive Functional O ffice A ssociate A dm inistrator or O fficial-in-C harge.
4.6.3 C enter D irector Perform ance Plans
Each C enter D irectors Perform ance Plan is to be executed annually as
a docum ented agreem ent betw een Enterprise A ssociate A dm inistrators/
Institutional Program O fficers and their respective C enter D irectors. This
plan w ill include perform ance goals and indicators for the C enter.
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C oncurrence of other H eadquarters officials m ay be required if the
scope of the plan is broad and as agreed betw een the C enter D irector
and the Enterprise A ssociate A dm inistrator.
4.6.4 Individual Perform ance Plans
All civil service N ASA em ployees, including m anagers and executives, w ill
have personal annual perform ance plans developed w ith their supervisors.
These plans w ill not only be consistent w ith all pertinent N ASA directives,
but also explicitly support the overall strategic goals of the Agency. The
perform ance plans w ill serve as the reference docum ents for the annual
perform ance appraisals of all em ployees, m anagers, and executives.
4.7 Implementation in the Operating Year
4.7.1 Preparation and Transm ission of an O perating Plan
4.7.1.1 A s a part of the budget planning cycle, and in anticipation of receiving
new obligational authority from congressionally enacted appropriations,
the A gency prepares a draft of a detailed operating plan. This draft doc-
um ents program m atic changes that have occurred since the subm ission
of the Presidents budget, and it identifies any associated changes in the
resources required to im plem ent the program for the upcom ing fiscal year.
4.7.1.2 A fter C ongress enacts the A gencys appropriation for the operating
year, the draft operating plan is m odified to reflect any congressionally
directed changes contained in the appropriations or authorization bills.
This initial operating plan is then signed by the A dm inistrator after clear-
ance from O M B and sent to N A SAs congressional com m ittees.
4.7.2 Appropriations or Authorization Im pact on the Perform ance Plan
In the event that N A SAs appropriations and authorization bills require
changes to the program s or program funding that, in turn, require
changes to the perform ance targets included in the final Perform ance
Plan for the operating year, N A SA w ill revise the plan to reflect those
changes. The revised final Perform ance Plan m ust be cleared by the
Executive O ffice of the President prior to transm ittal to C ongress, after
w hich program planning that is affected during this budget deliberation
and approval process is updated.
4.7.3 O perating Plan Adjustm ents
A s necessary during the period of the appropriations availability for
obligation, N A SA provides notice to the Executive O ffice of the
President and C ongress of m aterial changes in program plans and
funding allocations. These notifications enable N A SA to keep all parties
appropriately advised of new developm ents and receive in return their
advice and consent.
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CHAPTER 5
PERFORMANCE EVALUATION
5.1 Performanc e Evaluation Proc ess
W hether N A SA is successful in carrying out its m issions is determ ined
by the A gencys ability to m eet or surpass the goals outlined in its strate-
gic and perform ance plans. N A SA uses objective and verifiable per-
form ance m etrics, regular m anagem ent insight and review processes,
or com parable tools to assess its perform ance at all levelsA gency,
Strategic Enterprises, Functional O ffices, C enters, C rosscutting
Processes, program s and projects, and the individual em ployee. Each
level participates in setting perform ance targets, evaluating perform -
ance against those targets, and reporting the results. If perform ance
m easures are carefully and thoughtfully chosen and applied, the annu-
al perform ance evaluation becom es one of our m ost im portant w ays of
identifying problem areas and opportunities for better m anagem ent and
greater organizational effectiveness (see Figure 51).
5.2 Agenc y Annual GPRA Performanc e Report and
Other External Reporting Requirements
5.2.1 The external reporting required by N A SAs perform ance evaluation
process is extensive. The underlying principle is that the public and
elected Federal officials are entitled to assurances that appropriations
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Report
Performance
Results
Centers
Report
Performance
Results
Report
Performance
Results
Enterprises/
Institutional
Program Offices
Agency
Functional/Staff
Offices
Start
Verify and
validate
Performance
Results
Independent
Advisory
Groups (NAC,
ASAP, OIG)
Develop the
Agency
Performance
Report
Chief Financial
Officer
Submit
Agency
Performance
Report to the
Administrator
for approval
Approve?
No
Yes
Submits to
Office of
Management
and Budget
End
Figure 51. Perform ance Evaluation
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requested and received have been, and w ill continue to be, spent judi-
ciously, efficiently, and effectively for approved goals and m issions.
A ccordingly, the N A SA annual Perform ance R eport on its fiscal opera-
tions of the past fiscal year includes considerable discussion of plans
accom plished and results achieved. In addition, of course, the annual
budget form ulation and justification process requires the linkage of per-
form ance plans to requested budgets, as w ell as justification for the
acquisition of capital assets.
5.2.2 Inform ation developed for N A SAs perform ance-reporting obligations
m ay be used as w ell to com ply w ith additional reporting requirem ents,
such as the C hief Financial O fficers A ct, the Federal M anagers
Financial Integrity A ct, and the A dm inistrators Perform ance R eport to
the President.
5.3 External Reviews
5.3.1 M uch of N A SAs success in carrying out its m issions results from its
close w orking relationships w ith researchers in universities and other
nongovernm ent organizations, including the N ational R esearch
C ouncils Space Studies B oard and A eronautics and Space
Engineering B oard, and w ith industry. A ll of these relationships con-
tribute to planning and evaluating N A SAs exploration of space w hile
keeping the U nited States on the forefront of aerospace technologies.
These diverse com m unities understand the varied nature of N A SAs
challenges and are w ell positioned to assess its progress in m eeting
them . N A SA also m aintains a broad and diverse system of advisory
com m ittees under the Federal A dvisory C om m ittee A ct, w hich includes
the N A SA A dvisory C ouncil and its subcom m ittees and the A erospace
Safety A dvisory Panel, created by C ongress. The A gency uses these
advisory groups to obtain external input to its strategies and perform -
ance planning and evaluation activities.
5.3.2 Som e other Federal agencies (such as the Environm ental Protection
A gency, the G eneral A ccounting O ffice, the O ccupational Safety and
H ealth A dm inistration, and the Sm all B usiness A dm inistration) are
entrusted by C ongress to assure that certain governm ental activities
com ply w ith Federal law s and regulations for w hich those agencies
have prim ary jurisdiction.
5. 4 Independent Validation of Performanc e Measures
N A SAs perform ance m easures w ill be subjected to independent vali-
dation by organizations, including the G eneral A ccounting O ffice,
N A SAs O ffice of Inspector G eneral, and other cognizant entities.
Periodic independent audits m ay also be conducted by outside regis-
trars to achieve ISO 9001 certification for N A SAs principal processes.
5.5 Educ ation, Training, and Rewards in Strategic
Management
The O ffice of H um an R esources and Education develops A gency poli-
cy for em ployee training pertaining to the general principles of strategic
m anagem ent, G PR A , N A SAs strategic m anagem ent process, the N A SA
Strategic Plan, perform ance planning and m easurem ent, and the
im portance of all em ployees to N A SAs success. This office also devel-
ops A gency-level policy and guidance regarding aw ards and other
form s of recognition that foster and rew ard exceptional em ployee
achievem ents and contributions tow ard the accom plishm ent of N A SAs
strategic m ission and perform ance targets.
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APPENDIX A
DESIGNATED CENTER MISSION AREAS
AND CENTERS OF EXCELLENCE
For the m ost current listings for this appendix, please refer to the online version
of N PG 1000.2.
Center Mission Area Area(s) of Excellence
A m es R esearch C enter Aviation O perations Inform ation
System s and A strobiology Technology
D ryden Flight R esearch Flight R esearch A tm ospheric Flight
C enter O perations
G oddard Space Flight Earth Science and Physics Earth Science and
C enter and A stronom y Physics and
A stronom y
G lenn R esearch C enter A eropropulsion and Turbom achinery
A erospace Pow er System s
R esearch and Technology
Jet Propulsion Laboratory Planetary Science and D eep Space System s
Exploration and Instrum ent
Technology
Johnson Space C enter H um an Exploration and H um an O perations in
A stro M aterials Space
K ennedy Space C enter Space Launch Launch and Payload
Processing System s
Langley R esearch C enter A irfram e System s and Structure and
A tm ospheric Science M aterials
M arshall Space Flight Space Transportation Space Propulsion
C enter System s D evelopm ent,
M icrogravity and Space
O ptics, and M anufacturing
Technology
Stennis Space C enter R ocket Propulsion Testing R ocket Propulsion
and C om m ercial R em ote Testing System s
Sensing
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APPENDIX B
PRINCIPAL CENTER DESIGNATIONS
For the m ost current listings for this appendix, please refer to the online version
of N PG 1000.2.
Functional Area Center/HQ Code
C onduct of A gency Independent A ssessm ents and Program LaR C /A E
Evaluations
Preferred N A SA Technical Standards M SFC /A E
Engineering Excellence Initiative M SFC /A E
Intelligent Synthesis Environm ent LaR C /A F
Intelligent System s A R C /A F
EEE Parts and Packaging JPL/A E
N ational C enter for A dvanced M anufacturing M SFC /A F
IT B usiness C ase R eview LaR C /A O
Scientific and Technical Inform ation Program LaR C /A O
Printing M anagem ent and Form s and M ail O fficer Functions G SFC /A O
Principal C enter for Inform ation Technology Security A R C /A O
Principal C enter for PC W orkstation H ardw are and Softw are G R C /A O
N A SA A utom ated D ata Processing C onsolidation M SFC /A O and M
C enter (N A C C )
Principal C enter for C om m unications A rchitecture M SFC /A O
O utsourcing D esktop Initiative for N A SA (O D IN ) G SFC /A O
Sustaining Engr. Support for A gencyw ide A dm in. M SFC /A O
System s (SESA A S)
A gency Payroll M SFC /B
International Travel and PC S Voucher Processing JSC /B
Integrated Financial M anagem ent (IFM ) System C ontract G SFC /B
M anagem ent
IFM System Project M anagem ent M SFC /B
IFM System Training O ffice M SFC /B and F
IFM System O perations M SFC /B
IFM System Transition M anagem ent JSC /B
Program O versight and C ost Estim ating LaR C /B
Earned Value M anagem ent M SFC /B
G overnm ent Travel C harge C ard Program C oordinator LaR C /B
C ontractor Financial M anagem ent R eporting JSC /B
(Form 533 C ost R eporting)
D efense C ontract A dm inistrative Service Financial M SFC /B
M anagem ent Support
H um an R esources A utom ated System s (N PPS, C A PPS, M SFC /B and F
N TD S, C TD S)
D rug-free W orkplace Laboratory A nalysis Services K SC /F
Em ployee R elocation Services K SC /F
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Functional Area Center/HQ Code
A gencyw ide H um an R esources O perations A ctivities A R C /F
Spacelink M SFC /F
A cadem y of Program /Project Leadership LaR C /F
N A SAs C ontracting Intern Program K SC /H and C P
A gency B ankC ard Program LaR C /H
N A SAs A cquisition Internet Service (N A IS) M SFC /H
Electronic C om m erce and Integration M SFC /H
Environm ental Inform ation R esource M anagem ent Support G R C /JE
R ecycling and A ffirm ative Procurem ent K SC /JE
N A SA A cquisition Pollution Prevention (A P2) K SC /JE
N A SA O perational Environm ental Team (N O ET) M SFC /JE
N A SA O nline D irectives Inform ation System (N O D IS) G SFC /JM
C enter D irectives M anagem ent System A R C /JM
A gencyw ide Travel Services C ontract/O versight G SFC /JG
Excess Equipm ent R eutilization Screening LaR C /JG
Logistics B usiness System s O perations and M aintenance M SFC /JG
Specifications K ept Intact (SPEC SIN TA C T) K SC /JX
Facility Project M anagem ent System (FPM S) K SC /JX
Processing W age D eterm inations G SFC /JR
Extranet for Security Professionals A R C /JS
Threat A nalysis and D issem ination JSC /JS
Security/Law Enforcem ent Standards and Training K SC /JS
C om m unications Security/Electronic K ey M anagem ent K SC /JS
H igh D efinition Television M SFC /M
Scheduling A stronauts for Public A ppearances JSC /P
Fire Support Protection Program K SC /Q
Softw are A ssurance A R C IV& V/Q
M etrology and C alibration K SC /Q
R ange Safety K SC /Q
N on-D estructive Evaluation LaR C /Q
O ccupational H ealth Program K SC /U
C enter key:A R C A m es R esearch C enter; G SFC G oddard Space Flight
C enter; G R C G lenn R esearch C enter; JPLJet Propulsion Laboratory;
JSC Johnson Space C enter; K SC K ennedy Space C enter;
LaR C Langley R esearch C enter; M SFC M arshall Space Flight C enter; and
IV& VIndependent Verification and Validation.
H Q C ode key:AEC hief Engineer; AFC hief Technologist; AO C hief Inform ation
O fficer; BO ffice of the C hief Financial O fficer; C PH eadquarters H um an Resources
M anagem ent D ivision; FO ffice of H um an Resources and Education; H O ffice of
Procurem ent; JEEnvironm ental M anagem ent D ivision; JG Logistics M anagem ent
O ffice; JM M anagem ent Assessm ent D ivision; JRIndustrial Relations O fficer; JS
Security M anagem ent O fficer; JXFacilities Engineering D ivision; M O ffice of Space
Flight; PO ffice of Public Affairs; Q O ffice of Safety and M ission Assurance; and
U O ffice of Life and M icrogravity Sciences and Applications.
44
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APPENDIX C
LEAD CENTER PROGRAM ASSIGNMENTS
For the m ost current listings for this appendix, please refer to the online version
of N PG 1000.2.
Human Exploration and Development of Space
G ravitational B iology and Ecology A m es R esearch C enter
B iom edical R esearch and C ounterm easures Johnson Space C enter
A dvanced H um an Support Technology Johnson Space C enter
M icrogravity R esearch M arshall Space Flight
C enter
Space Product D evelopm ent M arshall Space Flight C enter
Space Shuttle Johnson Space C enter
International Space Station Johnson Space C enter
Space O perations Johnson Space C enter
Payload C arriers and Support K ennedy Space C enter
R ocket Propulsion Testing Stennis Space C enter
A cquisition and M anagem ent of Expendable K ennedy Space C enter
Launch Vehicle Launch Services
Earth Science
Earth O bserving System sA tm ospheric Physics G oddard Space Flight C enter
and Land Surfaces
Earth O bserving System sO ceanography and Jet Propulsion Laboratory
Solid Earth Science)
Earth O bserving System sA tm ospheric C hem istry Langley R esearch C enter
Earth ProbesJPL Jet Propulsion Laboratory
Earth ProbesG oddard G oddard Space Flight C enter
Earth Science Technology Program G oddard Space Flight C enter
G eostationary O perational Environm ental G oddard Space Flight C enter
Satellites (G O ES)
Polar O perational Environm ental Satellites (PO ES) G oddard Space Flight C enter
C om m ercial R em ote Sensing Stennis Space C enter
N ew M illennium M issions EO -1/EO -2 G oddard Space Flight C enter
N ew M illennium Program Jet Propulsion Laboratory
Aero-Space Technology
A irfram e System s R esearch and Technology Langley R esearch C enter
Aviation System C apacity Program A m es R esearch C enter
Aviation Safety Program Langley R esearch C enter
H igh Perform ance C om puting & C om m unication A m es R esearch C enter
Propulsion System R esearch and Technology G lenn R esearch C enter
U ltra Efficient Engine Technology Program G lenn R esearch C enter
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Aviation O peration System s R esearch and A m es R esearch C enter
Technology
Flight R esearch R esearch and Technology D ryden Flight R esearch
C enter
Inform ation Technology R esearch and Technology A m es R esearch C enter
R otorcraft R esearch and Technology A m es R esearch C enter
Sm all B usiness Innovation R esearch/ G oddard Space Flight C enter
Sm all B usiness Technology Transfer Program
X-33 A dvanced Technology D em onstrator M arshall Space Flight C enter
Future X-Pathfinder Program M arshall Space Flight C enter
A dvanced Space Transportation Program M arshall Space Flight C enter
Space Science
M ars Exploration R obotic M issions Jet Propulsion Laboratory
N ew M illennium D eep Space System Program Jet Propulsion Laboratory
H ubble Space Telescope Program G oddard Space Flight
C enter
C handra X-R ay O bservatory (C XO ) Program M arshall Space Flight C enter
G ravity Probe-B (G P-B ) (R elativity M ission) M arshall Space Flight C enter
Stratospheric O bservatory for Infrared A m es R esearch C enter
A stronom y (SO FIA )
Space Infrared Telescope Facility (SIRTF) Jet Propulsion Laboratory
C assini Jet Propulsion Laboratory
Explorers Program G oddard Space Flight C enter
Earth-O rbiting Space Science M ission O peration, G oddard Space Flight C enter
including A dvanced Spacecraft for C osm ology
and A strophysics, C om pton G am m a R ay
O bservatory, Fast A uroral Snapshot Explorer,
G eotail, International U ltraviolet Explorer, Polar,
R oentgen Satellite, R ossi X-ray Tim ing Explorer,
Solar A nom alous and M agnetospheric Particle
Explorer (SA M PEX), Solar and H eliospheric
O bservatory (SO H O ), W ind, and Yohkoh
International C ollaboration on N on-U .S. Physics G oddard Space Flight C enter
and A stronom y M issions, including Equator-S,
C luster II, X-ray Spectroscopy M ission,
International G am m a R ay A strophysics
Laboratory (IN TEG R A L), A STR O -E, and
Spectrum X-G am m a
Manage Strategically Process
Integrated Financial M anagem ent Program N A SA H eadquarters
46
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APPENDIX D
NASA POLICY DIRECTIVES (NPD) AND
NASA PROCEDURES AND GUIDELINES (NPG)
The m ost recent versions of N A SA Policy D irectives and N A SA Procedures and
G uidelines can be found at: http://nodis.hq.nasa.gov/Library/processes.htm l
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APPENDIX E
NATIONAL AERONAUTICS AND SPACE
ACT OF 1958, AS AMENDED
For m ost recent (am ended) version of the N ational A eronautics and Space A ct
of 1958, consult: http://w w w.hq.nasa.gov/office/pao/H istory/am endact.htm l
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APPENDIX F
GOVERNMENT PERFORMANCE AND
RESULTS ACT OF 1993
For the m ost recent version of the G overnm ent Perform ance and R esults A ct of
1993, consult: http://w w w.w hitehouse.gov/O M B/m gm t-gpra/
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N ational A eronautics and
Space A dm inistration
W ashington, D C 20546