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HQPD 3330.1
Effective Date: November 22, 2006
Expiration Date: November 22, 2011
Responsible Office: LM
Human Capital: Workforce Planning and Ceiling Control Management
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1. POLICY

a. This directive sets forth the policy and procedures for managing and controlling organizational authorized ceilings at NASA Headquarters (HQ). These authorized ceilings are the baseline for all further actions.

b. Each approved organization within HQ is authorized a Total Organization Ceiling (TOC). Approval for requests to changes in an organization's TOC is described in Attachment A.

2. APPLICABILITY

This directive is applicable to NASA HQ organizations excluding the NASA Shared Services Center and the Office of the Inspector General.

3. AUTHORITY

a. 42 U.S.C. õ 2473 ( c )(1), Section 203 ( c ) of the National Aeronautics and Space Act of 1958, as amended.

b. NPD 1000.0, Strategic Management & Governance Handbook

c. NPD 3000.1, Management of Human Resources

d. NPD 3010.1, Strategic Workforce Management

4. REFERENCES

a. NPD 1000.3, The NASA Organization

b. NPD 3713.2, Federal Equal Opportunity Programs of NASA

c. NPR 3010.1, Strategic Workforce Management Process

d. NPR 3100.1, Management of the Senior Executive Service

e. NPR 3300.1, Appointment of Personnel To/From NASA

f. NPR 3319.1, Management of Senior Scientific and Technical and Other Senior Level Positions

g. HPD 5137.1, NASA Headquarters Office and Workstation Space Policy

h. HQOWI 3000-CO11, Human Resources Services

i. HQOWI 3000-CO10, Recruitment

5. RESPONSIBILITY

a. NASA Deputy Administrator or designee is responsible for:

(1) Approving or disapproving requests to adjust an organization's authorized TOC. See Attachment B for workforce elements that are included in TOC.

(2) Approving or disapproving requests to exceed Senior Executive Service (SES), Scientific Technical (ST) and Senior Leader (SL) allocations.

(3) Approving of funding for the proposed/existing TOC.

(4) Communicating decisions rendered on TOC requests to the organizations.

b. The Agency Chief of Staff is responsible for:

(1) Reviewing and recommending approval or disapproval of requests to exceed an organization's authorized TOC.

c. The Executive Director of Headquarters Operations is responsible for and may delegate the following activities:

(1) Managing the overall administration of HQ TOC and facility space.

d. The Executive Director for Headquarters Operations delegates the program responsibilities listed under 5.e through 5.h as follows:

e. The Executive Director for Headquarters Operations is responsible for the following:

(1) Conducting analysis and determining if sufficient funding is available to sustain the proposed/existing TOC. Analysis and determination are based upon input from the Headquarters Human Resources Management Division and Director, Office of Budget Management and Systems Support. Analysis includes funding for detailees, Intergovernmental Personnel Act (IPA) assignees and contractors. (Labor and budget costs for IPA's and detailees are not included in the HQ labor budget and must be funded by the responsible organization).

(2) Communicating management decisions that affect any organization's TOC to the Director, Headquarters Human Resources Management Division.

f. The Director, Headquarters Human Resources Management Division is responsible for:

(1) Managing and documenting the authorized ceiling and ensuring organizational compliance.

(2) Tracking authorized changes to an organization's TOC.

(3) Evaluating position and merits of increase based on organizational structure and mission.

g. The Director, Headquarters Facilities and Administrative Services Division is responsible for:

(1) Determining if adequate facility space, within the approved Facility Foot Print, is available to accommodate the HQ human capital personnel allocation.

(2) Ensuring maximum efficiencies and utilization as directed in HPD 5137.1B.

h. The Director, Office of Budget Management and Systems Support is responsible for:

(1) Providing advice and recommendations on all funding and resources needed to support HQ staffing.

(2) Ensuring funding issues relative to ceilings are raised to the Deputy Assistant Administrator for HQ Operations.

i. Officials-in-Charge (OICs)of Headquarters Offices are responsible for:

(1) Ensuring compliance with this directive.

(2) Evaluating human capital needs and planning for their optimal utilization.

(3) Ensuring appropriate and attainable documentation exists concerning inter-organizational agreements.

(4) Submitting appropriate and timely documentation to request changes (increases or decreases)in TOC to the Director, Human Resources Management Division.

6. DELEGATION OF AUTHORITY

In the absence of the responsible official, delegation of authority will be recognized and permitted.

7. MEASUREMENTS

The extent to which organizations manage effectively within their TOC and the results of their human capital plan will be assessed in conjunction with NASA's overall Human Capital Management Program.

8. CANCELLATION

None.

/S/Christopher Jedrey for Olga Dominguez
Assistant Administrator for
Infrastructure and Administration



ATTACHMENT A: (TEXT)

Attachment A
Management of Total Organization Ceilings (TOC)

1. Ceiling Control Management

a. Organizations receive an authorized staffing level through a Headquarters (HQ) managed workforce review or the establishment of a new organization authorized by any one of the following: Administrator, Deputy Administrator, Associate Administrator and/or Chief of Staff. An organization's authorized ceiling is equivalent to its TOC. The components of an organization's TOC are detailed in Attachment B, Total Organization Ceiling Computation Chart.

b. Intergovernmental Personnel Act (IPA) assignees, consultants, and contractor employees are not counted in an organization's TOC, but organization's must adhere to the policy set forth in the HQPD 5137.1B, NASA Headquarters Office and Workstation Space Policy. Refer to Attachment B, Total Organization Ceiling Computation Chart, for employee types that count within an organization's TOC.

c. Civil service employees detailed from another NASA Center are not counted in an organization's TOC, but organizations must adhere to the policy set forth in the HQPD 5137.1B, NASA Headquarters Office and Workstation Space Policy. Refer to Attachment B, Total Organization Ceiling Computation Chart, for employee types that count within an organization's TOC.

d. Requests for increases to TOC and other changes are submitted by the Officials-in-Charge (OICs) of Headquarters Offices to the Assistant Administrator for Infrastructure and Administration, who manages the HQ TOC process and forwards requests to the Chief of Staff, who reviews and makes recommendations on the submission to the NASA Deputy Administrator. The required content of this request is described in paragraph 2 of this Attachment.

e. Inter-HQ Office agreements for the transfer of a TOC billet must be documented. Organizations with a mutual agreement to transfer a position (permanent or temporary), will draft a Memorandum of Agreement (MOA) documenting this transaction. Refer to Attachment D for the MOA template. The MOA will be forwarded to the Director, Headquarters Human Resources Management Division (HRMD), who will review the request for any position management/grade issues and annotate and document each organization's respective new ceiling allocation. MOA's involving the transfer of senior level positions (SES/ST/SL) may be forwarded to the NASA Deputy Administrator for approval. MOA's documentation applies to positions authorized within the HQ; agreements involving other Centers are outside the scope of this directive. Additional documentation may be requested in order to consider this request.

f. Approval of new/increased ceiling does not include a review of a requested grade for the new position. Once the request is approved, the Director, Headquarters Human Resources Management Division is responsible for ensuring appropriate classification and grade allocation.

g. Unless authorized by the NASA Deputy Administrator, the Director, Headquarters Human Resources Management Division will not process any actions that would cause an organization to exceed their assigned TOC.

2. Required Content for Request to Increase TOC (Justification):

a. A description of the functional change(s) that created the need for an increase to TOC, addressing any effect on established positions.

b. A description of overall competency needs and overall competency supply. This description should identify competency gaps, if any. At a minimum, information should include competency, competency ID, position title, series, grade, and number needed/available for each. The impact of the adjustment to the TOC should be clearly identifiable in this description. NASA's Competency Management System can be utilized to compile this information.

c. A statement indicating compliance with HPD 5137.1B, NASA Headquarters Office and Workstation Space Policy.

3. Excess Positions:

OICs are responsible for identifying excess positions (permanent and temporary) to the NASA Deputy Administrator when a formal change to a mission statement is required or when responsibility for a project is formally transferred to another organization. Excess positions will be forwarded to the Director, Headquarters Human Resources Management Division for TOC reduction and redeployment within Headquarters.

4. Workforce Planning

It is the responsibility of each Office to develop and continually maintain a Human Capital Plan (HCP) of their workforce. This plan will complement any request for changes to TOC and other workforce realignments.


Attachment B


Total Organization Ceiling Computation Chart

Ceiling Category

Description

Permanent

Full Time Permanent (FTP)

- Executive Ceilings:

OPM allocates these categories to NASA

-- SES

Senior Executive Service (Career and Non-Career)

-- ST

Scientific Technical

-- SL

Senior Level

- GS/Other

General Schedule/Other

Part Time Permanent (PTP)

Work Schedule is less than 80 hours per pay period

NASA Excepted (NEX)

Hired under special appointment authority granted by the NASA Space Act of 1958, unless an exemption is granted.

Detailees Out

Civil Servants from one of the above three categories who are working in another NASA organization or outside NASA

SES Term

Part of Executive Ceiling for SES listed above. Under certain circumstances, an SES Term position may be counted under an organization's Temporary Ceiling, determination of such is made by the Human Resources Management Division.

Temporary

Other Than Full Time Permanent (OTFTP) Ceiling

Approved for a specified, limited time

Centrally funded OTFTP

Includes Corporate Recruitment Initiatives

Total Organization Ceiling

= Permanent + Temporary

Maximum number of personnel that can be employed by an organization

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Not Counted in Total Organization (TOC)

Centrally funded OTFTP

Includes: Experts and Consultants,

Schedule C Appointments

Do not count if within the Administrator's office ceiling; otherwise they count.


Attachment C
Definitions

a. Human Capital Plan (HCP): Addresses the organization's strategic goals and objectives to achieve optimum mission success relative to staffing, succession planning and labor mix. The HCP is a living document and should be updated as necessary.

b. Total Organization Ceiling (TOC): The TOC is the total human capital allocation assigned to Headquarters organizations, which cannot be exceeded without authorization from the NASA Deputy Administrator. (See Attachment B the Total Organization Ceiling Computation Chart.) The TOC does not include detailees from other organizations, Intergovernmental Personnel Assignments (IPA), or contractors.

c. Overage: Overages are any personnel on board in excess of the TOC. Any overages must be incorporated within the organization's assigned ceiling at the next hiring opportunity or by a specified end date authorized by the NASA Deputy Administrator.

d. On-Board Count: On-board count is the number of civil servants that are employed by an organization in accordance with the Chart at Attachment B.

e. Ceiling Modification Request: A request by an organization to increase their authorized TOC. Ceiling allocations are based upon existing or projected workload mission requirements that have been authorized and funded. Requests to modify the ceiling to accommodate changes to an organization's mission goals must be adequately documented justifying the need.

f. Facility Foot Print: The space allocated to an organization to house all staff including: civil service employees, detailees in from other organizations (internal or external), IPAs, contractors, experts and consultants. An organization's Facility Foot Print cannot be exceeded. g. Workforce Planning: Workforce planning is a systematic process for identifying the human capital required to meet agency goals and the development of plans and strategies to meet these requirements.


Attachment D
Memorandum of Agreement (MOA) Template

TRANSFER OF FTP/PTP BILLET

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FROM: _________________________________________

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TO : ____________________________________________

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1. The ____________________________ agrees to transfer one position to the __________________ Mission Directorate/Support Office to accommodate the placement of (employee) who is currently an (Title Series Grade).

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OR

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The ________________________________ agrees to transfer one position to the ____________________ Mission Directorate/Support Office associated with the realignment of the ___(Program and/or Effort) and the reassignment of (employee) who is currently an (Title Series Grade), supporting the program.

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2. The _________________ Mission Directorate/Support Office agrees to initiate action to reassign (employee) at his/her current grade level, in the (Organization).

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3. The Headquarters Human Resources Management Division will document the transfer of the FTP/PTP billet upon receipt of the action to reassign the employee(s).

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4. This MOA is effective upon signature by all parties below. The position will be returned to __________________ Mission Directorate/Support Office once the requirements end or it can be given as excess to HRMD for redeployment.

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Official-in-Charge

( Mission Directorate/Support Office)

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Date

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Official-in-Charge

( Mission Directorate/Support Office)

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Date

Approved:

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Assistant Administrator for

Infrastructure and Administration

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Date


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