nasa strategic project management handbook

8/11/2019 NASA Strategic Project Management Handbook

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NASA

Strategic Management

Handbook

The Red Book

NPG 1000.2

February 2000

PerformanceEvaluation

StrategicPlanning

Performance andImplementation

Planning

H

A

N

D

B

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TABLE

OF

CONTENTS

1

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 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92.2 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 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 242.10 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 Act of 1993. . . . . . . . . 25

3.2 N A SA Strategic Planning R equirem ents . . . . . . . . . . . . . . . . . . . . 25

3.3 N A SAs Strategic Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 263.4 Enterprise Strategic Plans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

3.5 C apital Investm ent Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

3.6 Functional O ffice Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28


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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 anag em 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 Report 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 Areas 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 Am end ed . . . . . . . . . . . . 49

F G overnm ent Perform ance and R esults Act of 1993 . . . . . . . . . . . . 51

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P

REFACE

3

PREFACE

P.1 Purpose

N A SAs Strateg ic 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. Strateg ic 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 S trategic 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 Applicability

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, proced ures, 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 ASA D irectives System ,and

N PG 1400.2, N ASA 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


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P.4 References

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 end ed

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 ledg e (G K ) Process for

Prog ram s and Projects

f. N PG 1080.x, G uidelines for the G enerate K now ledge Process forProg ram s and Projects

g. N PD 1090.x, N A SA C om m unicate K now ledg e Process for

Prog ram s and Projects

h. N PG 1090.x, C om m unicating N A SAs Know 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 S uccessm . 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 Cancellation

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 d ecentralized

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, andFunctional 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 p art 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, generateknow led ge, com m unicate know led ge, and m anag e strateg ically.

Policies and procedural guidelines g overning these C rosscutting

Processes w ill be found in their respective N PDs and N PG s.

1.1.3 N A SAs strateg ic 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 institutionalcapabilities 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 S trategic Plan, the Enterprise Strategic Plans,

program s, and institutional capabilities (see Figure 12).

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1.3 Implementation: Performance and Budget Planning

The im plem entation planning process p rod uces annual budget form u-

lation guidance and perform ance p lans to achieve the g oals 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 Performance 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) req uires

Federal agencies to subm it annual perform ance plans follow ing the

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StrategicPlanning


Performanceand

ImplementationPlanning

Figure 11. Strategic M anagem ent System


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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.

S

TRATEGIC

MANAG

EMENTS

YSTEM

7

Agency

Performance

Plan/BudgetIntegration &Submittal

Admin. &

CongressApproval/Appropriation

5-Year Budget(IncludingLong-Term

CapitalInvestments)

Agency

StrategicPlan

FunctionalLeadership

Initiatives/Plans

AgencyPerformance

Planning &Budget (ProgramOperating Plan)

Guidance

Agency

PerformancePlan

FunctionalOffice


Agency

Perform.Evaluation& Reports

Enterprise

PerformancePlanning &

BudgetIntegration

EnterpriseStrategic

PlanPerformance

Plans

EnterpriseAA

PerformancePlans

EnterprisePerformance &Budget (POP)

Guidance

ImplementationPlans (Updates)

PerformancePlans

(IncludingIndividuals)

Center Implementation Plans(Including Centers of Excellence,

Program Lead and SupportResponsibilities, and Institutional

Investments)

Program/Project

ProgramOperating Plan

Revisions

Program/

ProjectManager

PerformancePlan

ProposedProgram/Project Plan

(Updates & New)

StrategicPlanning

Implementation andPerformance Planning PerformanceEvaluation

EnterpriseAA

Perform.Evaluation

Perform.Evaluation(Including

Individuals)

Program/

ProjectPerform.Evaluation& Reports

Note:This cycle is implemented on a regular basis, with the results and evaluation of prior-year performanceserving as a starting point for strategy development activities.

Centers

Functional/Staff AA

PerformancePlan

Employees

Individual Performance Plans and Evaluations

Figure 12. Strategic M anagem ent Elem ents


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1.4.2 The perform ance evaluation process allow s N ASA 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 Agencys long-term strategies or near-term objectives.N ASA w ill report publicly on the results of its perform ance evaluations to

the Adm 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 anag em ent and the m anagem ent of N A SAs Strategic Enterprises.

Strateg ic Enterprise m anag em ent includ es the m anag em 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 Agency Management

A gency m anagem ent is resp onsible 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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9

Functional Offices

Office of theAdministrator

Enterprise and InstitutionalProgram Office (IPO)

Management

Goddard Space Flight Center

Earth ScienceEnterprise and IPO

Jet Propulsion Laboratory*

Space ScienceEnterprise and IPO

Human Exploration &Development of Space

Enterprise and IPO

Johnson Space CenterKennedy Space CenterMarshall Space Flight CenterStennis Space Center

Ames Research CenterDryden Flight Research CenterGlenn Research CenterLangley Research Center

Aero-SpaceTechnology

Enterprise and IPO

Agency Councilsand Boards

* Wherever Jet Propulsion Laboratory or JPL appears in this document, note that the Jet Propulsion Laboratory (JPL) isNASA-owned, but contractor-operated.

Figure 21. Agency and Enterprise M anagem ent Structure


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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 p erform ance. Senior staff officials w ithin the O ffice of

the A dm inistrator include the D eputy A dm inistrator, A ssociate D eputyA 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 ofits 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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InformationTechnologyInvestment

Council

ProgramManagement

Council

CapitalInvestment

Council

Senior Management Council

Administrator

ChiefFinancialOfficerCouncil

ScienceCouncil

TechnologyLeadership

Council

EngineeringManagement

Council

SpaceOperations

ManagementCouncil

InformationTechnology

SecurityCouncil

SpaceTransportation

Council

MedicalPolicyBoard

OccupationalHealth and

SafetyBoard

FacilitiesReviewBoard

EEOBoard

CIORepresentatives

Board

EnvironmentalManagement

Board

SpaceStation

UtilizationBoard

AgencyPerformance

ReviewBoard

FlightAssignment

Board

AdministrativeIssuesBoard

Figure 22. Agency C ouncils and Boards


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2.2.3 Program M anagem ent C ouncil (PM C )

The P M C review s the readiness of program s in form ulation to p roceed

to im plem entation according to criteria established through the

approval process. The PM C w ill also review the im plem entation ofselected Enterprise program s and projects, as d efined in the Program

C om m itm ent A greem ent, and functional initiatives referred to it by the

C ap ital Investm ent C ouncil and requiring Prog ram 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 Cs 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 entc. Inform ation Technology

d. Science

e. Technology

f. H um an Resources

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 ICs advice to the A dm inistrator is a significant elem ent

of the A gencys d etailed 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 arerequired, the council w ill consider, am ong other criteria, the cum ulative

effect a proposed initiative w ill have on A gency resources. The

Adm 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 asp ects of technology related to N A SAs flight and ground

program s. It coordinates N A SAs technology activities, including

advanced research and develop m ent, across Enterprises and pro-

m otes pub lic com m unication of N A SAs technology prog ram s. The

Technology Leadership C ouncil also serves as a forum for review ingA gency p olicies, 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 E nterprise

bud gets for technology and sup ports the C IC w ith recom m end ations for

C enter of Excellence designation.

2.2.5.3 Engineering M anagem ent C ouncil

The Eng ineering M anag em ent C ouncil, chaired by the C hief Eng ineer,

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 technolog y/advanced develop m 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 providingA 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 technolog y developm ent and system upgrad es and partici-

pates in the A gency process of developing recom m end ations 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 ationtechnology 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 sup port and ad vice 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 Agency 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 estab lished internal Senior M anag em 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 oarde. 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 S tation 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 resp ective

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 theEnterprise w ith principal resp onsibility 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 E nterprise 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 resp onsible for:

a. D eveloping Enterprise strategy, policy, and standards that fulfill theA gencys g oals and objectives

b. Form ulating program req uirem ents and ob jectives

c. Providing ad vocacy 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 projectsh. 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 pub lic outreach

k. C oordinating interactions betw een the O ffice of M anag em ent and

B udget and N A SAs O ffice of the C hief Financial O fficer

l. C oordinating interactions b etw 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 S cience, Earth S cience, 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

resp onsibilities in science research include strategic planning, im ple-

m entation and perform ance p lanning, 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 resp onsible 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

prog ram 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 E nterprise 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 g uidance 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 evelop m 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

ChiefScientist

Implementation Evaluation

Consult on Science EnterprisesPlanning, Programs, and Budgets Assess Effectiveness of Policiesand Integrated Science Results

EnterpriseAssociateAdministrator

Assess Compliance andPerformance Against Strategic Plan

Integrate Research Results Program Assessment

CenterScientist

Contribute to Science PlanDevelopment

Develop Project Science Plans with theScience Community

Support External Investigations Project Scientist Management Conduct Successfully Proposed

Research

Lead Center*/ProgramManager

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 andResponsibilities

Figure 23. Science M anagem ent Roles and Responsibilities


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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, andinvestm 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 trad eoffs am ong the prog ram 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 resp onsibilities

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 anag e-

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 theinstitution (including capability d evelopm 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 anag em ent

C ouncil and as heads of their resp ective C enters. In this latter role, theyhave 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 resp onsibility. The

C enter D irectors are responsible for building and m aintaining hum anand physical resources to support their C entersm issions. Enterprise

program and project assignm ents are b ased 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 ag reed-on sched ule m ilestones, bud get 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 erexpectations, 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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flight and ground system s developm ent and operations m anagem ent

resp onsibilities are delegated to the C enters. N A SAs C enter scientists

provide enab ling support to the broader space research com m unity byserving 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 p oli-

cies and guidelines for science prog ram m anag em ent are provided in

N PD 1080 and N PG 1080, currently under developm ent.

2.4 Functional 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 resp onsibility. 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 resp onsibili-

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

Prog ram s, H um an R esources and Education, G eneral C ounsel,

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Strategy

EnterpriseAssociateAdministrator

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 andPerformance Against ProgramRequirements and CustomerExpectations

Lead CenterDirector*

Integrate Strategies withInstitutional Capabilities

Develop Centers of ExcellenceStrategies

Ensure Compliance to Policy/Standards

Maintain Dual Path for Qualityand Independent Assessment

ProgramManager

Support HeadquartersFormulation

Conduct Feasibility Planning

Implement Programs Allocate Budgets to Projects Project Oversight Report Status Control Program Changes

ProjectManager

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 projectlevel at their individual centers.

Develop Enterprise Strategy Customer Interface Establish Program

Requirements/Metrics External Advocacy Long-Term Investment Strategy Formulate Programs

Integrate Institutional Resources withProgram Needs

Develop Implementation Plans (TotalCenter)

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 andResponsibilities

Figure 24. Enterprise Program M anagem ent Roles and Responsibilities


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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 resp onsibilities.

2.4.3.1 A s functional leaders, Functional O ffice A ssociate A dm inistrators andO 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 Agency m anag em 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

PrincipalActivities

Mode ofOperation

Examples

Efficiency Effective Support to

Agency Mission

Central Service

Efficiency

Policy/Standards Budget Guidance

Functional Leadership Plans Assessments/ReportsImprovements

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 Determinationand Consolidation

Assessment Support

Value-Added Policy andStandards

Extensive Involvement ofCustomers 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 PlanningSystem

Environmental Management andCoordination

Facilities Management

PAO (Headquarters Only) Communications Network Agency Training and Education

Staff to the Administrator

Cross-Enterprise Balance andSynergy

Ensure Consistent Message toExternal Customers

Statutory Compliance andAccountability

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 toAdministrator, Coordinated withEnterprises as Appropriate

Coordinating Public AffairsActivities and Events

Legislative Hearing Coordination Agency Strategic and

Performance Plan Development

Figure 25. Functional O ffice Roles and Responsibilities


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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 ICs recom m endation, on

a case-by-case basis show ing a clear benefit to the A gency. AFunctional 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

Associate 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 forH 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 Appendix B .)

2.5 Crosscutting Process Management

2.5.1 N A SA recognizes that the broad application of certain op erating 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 Strategicallyb. Provide A erospace Products and C apab ilities

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 ledgeC hief ScientistC om m unicate K now ledge

2.6 Manage Strategically

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 ab out A gencyw ide

coordination and collaboration am ong all of its organizational units, theA 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 anag ing 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 resp onsible 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 Aerospace Products and Capabilities

N A SA cond ucts aerospace p rog ram s to p rovide 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 p rovided 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 ap plied 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 Communicate 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

Strateg ic M anag em ent System , dep ends 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 resp ective 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 develop m ent is an essential form of capital

investm ent for the A gency.

2.11 Office of Inspector 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 Prop ulsion

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 ong ress 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 Performance and Results Act 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

prog ram goals, m easuring prog ram perform ance against those goals,

and reporting publicly on their progress.G PR A requires the follow ingof 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. Prep are 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 prog ram 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 resp onse to G PR A , the Strateg ic Plans develop ed 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 prog ram evaluations used in establishing or revising generalgoals and objectives

3.3 NASAs Strategic Plan

N A SAs S trategic 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 resp ective 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 respectiveEnterprise 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 anag em ent C ouncil and ap proved

by the A dm inistrator. To ensure that they rem ain current, Enterprise

plans w ill be review ed and up dated as p art of any up date 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

sup ports N A SA com pliance w ith related Federal guidance on

capital/asset investm ents (O ffice of M anag em ent and B ud get (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 beg inning of the

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31.NASA

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im plem entation planning process and during the annual bud get devel-

opm ent process. The council m eets as often as the chair deem s ap pro-

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 sub seq uent im plem enta-

tion. The council also exam ines such p roposals as A gency-level dow n-

sizing or restructuring.

3.6 Functional Office 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 anag em 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 anag em 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 up dated, review ed , and ap proved again

as required by the A dm inistrator.

3.6.2 Follow ing presentation to and concurrence w ith the Functional

Lead ership Plans by the Senior M anagem ent C ouncil and approval bythe 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 Performance and Budget Planning Process

Im plem entation planning ensures that the detailed planning, resources,

and perform ance exp ectations are aligned to sup port 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

fund ing need s. Each bud get 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 b udget request for N A SA before

C ongress at the tim e, and it updates the total to reflect further econom -

ic policy or prog ram 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 resp ective

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


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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 bud get sub m 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 b udget form ulation p rocess 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 b udget general-

ly is subject to their having reached an appropriate stage of m aturity inthe 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 bud get request transm itted to O M B reflects this decision

process for the entire A gency. The budget process w ill be com patiblew 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 Performance Planning

G PR A requires the sub m ission of an A gency P erform 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 actionon an agencys bud get req uest is not req uired by G PR A , but m ay b e

subm itted by N A SA , if necessary, early in the new fiscal year.

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4.4 Developing and Issuing Guidance

The developm ent of im plem entation guidelines flow s from the approval

of the A gency and Enterprise S trategic P lans 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. TheN A SA A dm inistrators guidance w ill also be influenced by p olicy 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.

Providesannual

guidance forAgency

budget andperformance

planning

Providescapital

investmentand furtherstrategicguidance

Providespreliminaryguidance

FunctionalOffices provide

guidance

Preliminary programallocations and

guidance

Provide guidanceinputs to Enterprise

Integrates and issuesannual budget and

performanceguidance

FunctionalOffices provide

input/issues

CFO issues integrated Agency guidance

Program and institutionalallocations and guidance

Integrate Centersubmits

Forward submits toother Enterprises

or FunctionalOffices

Provide feedback onsubmits to supporting

Centers

Build POPsubmits

Iterate inputs withLead Centers

Prepare finalinput to

Enterprise/IPOs

IntegrateEnterprise/Functional

Office inputsIdentify Issues

Resolve internal issuesDevelop Enterprise

Submit

Iterate issuesDevelop recommendations

Adjusts request to respondto CIC issues/direction

Approve ordirect revision

Submit toOMB

Develop Agency budget andperformance recommendations

Revise per Administrator decisions

dministrator CapitalInvestment

Council

CFO Functional/Staff Offices

Enterprises/IPOs SupportingCenters

Lead Centers

Figure 41. Im plem entation: N ASAs Perform ance and Budgeting Planning


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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 Pguidance. 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 prog ram s, perform ance goals, and associated m etrics.

4.5 Performance and Budget Decisionmaking Process

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

prog ram 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 anticipatedresources 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 resp onsible 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 resp onsible for advising

and m aking recom m endations to the Institutional Program O ffices onthe C enter budget subm issions. Functional O ffice review s m ay also be

used to develop associated perform ance m easures or ind icators.

Enterprise A ssociate A dm inistrators then reallocate resources am ong

program s and revise p erform 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 Agency activities are conducted in accordance w ith

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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 exp ected to have a significant A gencyw ide im pact onpersonnel, 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 p ersonnel, 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 forthese 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 bud get req uest. The C IC m ay recom m end to the A dm inistrator

that the proposing office create a Prog ram 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 integ rates 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 nonp rog ram m atic actions planned w ithin the tim efram e

and fiscal scope of the proposed bud getd. 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 ind icators 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

nasa strategic project management handbook

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