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NASA Procedures and Guidelines

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NPR 3100.1B
Effective Date: December 19, 2014
Cancellation Date:
Responsible Office: LE

Management of the Senior Executive Service (SES)


NPR3100.001B

Table of Contents

Preface

P.1 Purpose
P.2 Applicability
P.3 Authority
P.4 Applicable Documents and Forms
P.5 Measurement/Verification
P.6 Cancellation

Chapter 1. Overview

1.1 SES Program
1.2 Objectives of the SES Executive Resources System
1.3 Characteristics of an SES Position
1.4 Position Designations and Appointment Authorities

Chapter 2. Responsibilities

2.1 Administrator
2.2 Performance Review Board
2.3 Executive Resources Board
2.4 Executive Resources Panel
2.5 Chief Human Capital Officer
2.6 Director, Workforce Culture Division, Office of the Chief Human Capital Officer (WCD,OCHCO)
2.7 Reporting Relationships

Chapter 3. Staffing

3.1 Staffing Procedural Requirements
3.2 Qualification Standards and Requirements
3.3 Vacancy Announcements
3.4 Applicant Evaluation Procedures
3.5 Documentation Requirements
3.6 Noncompetitive Actions
3.7 Executive and Schedule C System

Chapter 4. Probationary Period

4.1 Probationary Period

Chapter 5. Pay

5.1 General
5.2 Initial Pay Setting
5.3 Tier Positions
5.4 Adjusting Pay

Chapter 6. Awards and Development

6.1 Awards
6.2 Executive Development

Chapter 7. Other Provisions

7.1 Mobility
7.2 SES Ethical Standards

Appendix A. Definitions

Appendix B. Acronyms

Appendix C. NASA Executive Resources Management Structure

Appendix D. NASA Pay Structure for the SES: Tier Positions

Appendix E. Tier 1 Programs/Projects

Appendix F. Representative Range of Performance-Based Increases


NPR3100.001B

Preface

P.1 Purpose

This directive establishes the procedural requirements regarding the management of the Agency's SES program. It provides a framework for executive development, position allocation, staffing, performance management, pay, and awards and assigns responsibilities and prescribes requirements for the administration of the Agency's SES program.

P.2 Applicability

a. This directive applies to all career, noncareer, limited term, and limited emergency senior executives covered by 5 U.S.C. 3131, employed by NASA Headquarters (HQ) and NASA Centers, including Component Facilities and Technical and Service Support Centers.

b. Any reference to Center Director(s) includes the Executive Director for HQ Operations and the Executive Director of the NASA Shared Services Center.

c. In this directive, all document citations are assumed to be the latest version, unless otherwise noted.

d. In this directive, all mandatory actions (i.e., requirements) are denoted by statements containing the term "shall." The terms "may" or "can" denote discretionary privilege or permission, "should" denotes a good practice and is recommended, but not required, "will" denotes expected outcome, and "are/is" denotes descriptive material.

e. In consonance with the Inspector General Act of 1978, as amended (5 U.S.C. App. § 2), nothing herein shall be construed as limiting the Inspector General's authority regarding members of the SES or SES positions within this organization.

P.3 Authority

a. Inspector General Act of 1978, as amended, 5 U.S.C. App. § 2).

b. Authority for Employment, 5 U.S.C. 3101 - 3152.

c. Examination, Selection, and Placement, 5 U.S.C. 3301 - 3397.

d. Retention Preference, Restoration, and Reemployment, 5 U.S.C. 3501 - 3597.

e. Performance Appraisal, 5 U.S.C. 4301 - 4315.

f. Incentive Awards, 5 U.S.C. 4501 - 4523.

g. Pay Rates and Systems, 5 U.S.C. 5301 - 5392.

h. Adverse Actions, 5 U.S.C. 7501 - 7543.

i. Limited Appointments to Senior Executive Service Positions, 5 U.S.C. 9813.

j. Employment in the Senior Executive Service, 5 CFR Part 317.

k. Pay and Performance Awards Under the Senior Executive Service, 5 CFR §§ 534.401 - 408.

l. Supervisory, Management, and Executive Development, 5 CFR Part 412.

m. Performance Management, 5 CFR Part 430.

n. Awards, 5 CFR Part 451.

o. NPD 3000.1, Human Capital Management.

P.4 Applicable Documents and Forms

a. Career Reserved Positions, 5 CFR § 214.402.

b. Temporary Assignments Under the Intergovernmental Personnel Act, 5 CFR Part 334.

c. Removal from the Senior Executive Service; Guaranteed Placement in Other Personnel Systems, 5 CFR Part 359.

d. Pay Under Other Systems, 5 CFR Part 534.

e. Setting Pay Upon Initial Appointment to the SES, 5 CFR § 534.404(a).

f. Adjusting the Pay of SES Members, 5 CFR § 534.404(b)(4).

g. Restrictions on Reducing the Pay of Career Senior Executives, 5 CFR 534.404(j).

h. Performance Awards, 5 CFR § 534.405.

i. Adverse Actions, 5 CFR Part 752.

j. NPR 3319.1, Management of the Scientific or Professional (ST) or Senior Level (SL) Positions.

k. NC 1000.9, NASA Performance Review Board.

l. NC 1000.7, Executive Resources Board.

m. NASA Form 1669, Executive Personnel Action Document.

P.5 Measurement/Verification

The WCD, OCHCO, will monitor the operation of the executive resources management system and make recommendations for improvements or corrective actions to the Chair of the Executive Resources Board (ERB) and to the Administrator to ensure quality and consistent implementation.

P.6 Cancellation

a. NPR 3100.1A, Management of the Senior Executive, dated March 9, 2007.

b. NPR 3317.1A, Senior Executive Service Career Appointee Merit Staffing in NASA, dated March 13, 2007.


NPR3100.001B

Chapter 1. Overview

1.1 SES Program

1.1.1 NASA's SES program provides a framework to develop, select, and manage Agency executives. Authority to effect SES actions emanate from the Administrator. An overview of the management structure for executive resources is depicted in Appendix C.

1.2 Objectives of the SES Executive Resources System

1.2.1 The objectives of the SES Executive Resources system are to:

a. Attract and retain highly competent executives and assign them where they will be most effective in accomplishing the Agency mission.

b. Provide for the systematic development of managers and executives.

c. Reward outstanding performance and hold executives accountable for individual and organizational performance.

d. Provide an executive merit system that ensures an environment free from prohibited personnel practices and arbitrary actions.

1.3 Characteristics of an SES Position

1.3.1 A position is designated as a senior executive when the duties and responsibilities are classified above the General Schedule 15 (GS-15) level and perform one or more of the following:

a. Directs the work of an organizational unit.

b. Is held accountable for the success of one or more specific programs or projects.

c. Monitors progress toward organizational goals and periodically evaluates and makes appropriate adjustments to such goals.

d. Supervises the work of employees other than personal assistants.

e. Exercises important policy-making, policy-determining, or other executive functions.

1.3.2 Positions classified above the GS-15 level that do not perform executive and management responsibilities described in 1.3.1, such as a technical expert or senior advisor, are placed in the Scientific or Professional (ST) or Senior Level (SL) system depending on the nature of the work. Refer to NPR 3319.1 for procedural requirements for ST and SL positions.

1.4 Position Designations and Appointment Authorities

1.4.1 Positions in the SES are designated as either Career Reserved or General. Career Reserved positions are filled by a career appointee to ensure the impartiality or the public's confidence in the impartiality of the Government. Positions not designated as Career Reserved are General positions. Determinations are made following the criteria in 5 CFR § 214.402. A General position may be filled by a career or noncareer appointee. The same General position may be filled by a career appointee at one time and a noncareer appointee at another time. However, a Career Reserved position may be filled only by a career SES appointee or a limited term appointee under 5 U.S.C. 9813.

1.4.2 SES appointment authorities.

a. Career appointments are made without time limitations. Requirements and provisions for initial career appointments shall meet the competitive merit staffing provisions found in 5 U.S.C. 3393 at the time of selection for the SES or an SES candidate development program.

b. Noncareer appointments are made without time limitation and do not require merit staffing procedures or Qualifications Review Board (QRB) certification. The appointees serve at the pleasure of the appointing authority and do not acquire SES career status. This appointment requires Office of Personnel Management (OPM) approval.

c. In accordance with 5 U.S.C. 9813, the Administrator may approve limited term SES appointments to Career Reserved or General positions, without competition, to meet a legitimate temporary need. The appointee may serve four years or less to a position the duties of which will expire at the end of the term or one year or less to a position the duties of which are continuing. Appointees serve at the pleasure of the appointing authority and do not acquire career SES status. Such appointees are eligible for SES bonuses under 5 U.S.C. 5384.

d. Limited emergency appointments are non-renewable appointments, not to exceed 18 months to meet a bona fide, unanticipated, urgent need. Appointees serve at the pleasure of the appointing authority and do not acquire career SES status. This appointment requires OPM approval.


NPR3100.001B

Chapter 2. Responsibilities

2.1 Administrator

2.1.1 The Administrator, or designee, shall be responsible for the overall management of the SES program. Authorities include but are not limited to the following:

a. Approval to establish, modify, abolish, and staff an SES position.

b. Approval of SES appointments, pay setting and pay change determinations, recruitment, relocation and retention incentives, and awards and award nominations.

c. Final decisions regarding adverse actions and approvals of details, Intergovernmental Personnel Act (IPA) assignments, or developmental assignments within the Washington, D.C., metropolitan area.

d. Approval of all personnel actions affecting Executive Position Managers (EPMs) and their full deputies.

2.1.2 Where not prohibited by law or regulation, authorities may be delegated to an appropriate management level but not below the EPM level. Such delegations may be communicated by memorandum and are considered as incorporated into this directive.

2.2 Performance Review Board (PRB)

2.2.1 The PRB is a board required by law, and in accordance with NC 1000.9, and shall be responsible for making recommendations to the Administrator on the performance of NASA executives. Members and the Chairperson are appointed by the Administrator or designee.

2.3 Executive Resources Board (ERB)

2.3.1 The ERB, in accordance with NC 1000.7, shall be responsible for conducting the merit staffing process for entry into the SES. The ERB also functions as an advisor to the Administrator in executive personnel planning, utilization of executive resources, diversity and equal opportunity, and executive development, including competitive recruitment and selection, SES appointments, performance appraisal and recognition, and compensation. Members and the Chairperson are appointed by the Administrator or designee.

2.4 Executive Resources Panel (ERP)

2.4.1 An ERP is responsible for identifying candidates for SES candidate development programs and identifying qualified candidates for vacant SES career positions when recruitment outside the SES is undertaken. The ERP also may be used to identify current SES candidates. The ERP may be appointed to serve a fixed term or to assist the EPM in connection with a specific recruitment action. A majority of the ERP shall be career employees in the SES. ERP members from outside NASA are permitted to serve on the ERP. Under the direction of the EPM, ERPs shall be responsible for the following:

a. Establishing position qualification standards.

b. Developing SES vacancy announcements [using the five OPM-approved Executive Core Qualifications (ECQs) as the managerial qualification requirement].

c. Recruiting SES candidates from a wide range of sources, including those with potential for providing minority and female candidates and candidates with disabilities.

d. Discussing possible conflict of interest issues with SES candidates.

e. Investigating, recommending, or taking actions necessary to satisfy inquiries concerning SES staffing issues.

f. Documenting merit staffing actions.

2.5 Chief Human Capital Officer

2.5.1 The Chief Human Capital Officer, or designee, shall assist the Administrator in the overall management of the SES, as follows:

a. Serves as the ERB Chairperson.

b. Serves on the PRB.

c. Directs activities that provide policy advice and management support to the Administrator.

d. Oversees and coordinates the SES program dealing with recruitment, appointment, position allocation and management, executive development, performance management, and compensation.

2.6 Director, Workforce Culture Division, Office of the Chief Human Capital Officer (WCD, OCHCO)

2.6.1 The Director, WCD, OCHCO, shall serve as the Executive Secretary and provide direct staff support to the ERB and the PRB.

2.7 Reporting Relationships

2.7.1 The reporting relationships of Administrator, PRB, ERB, and EPMs are shown in Appendix C.


NPR3100.001B

Chapter 3. Staffing

3.1 Staffing Procedural Requirements

3.1.1 The Agency goal is to recruit and select the best qualified executives from the widest practical recruitment sources for SES career appointments, including appropriate sources for minority and female candidates and candidates with disabilities. The extent of the recruitment area beyond the required minimum area (i.e., civil service wide) depends upon the position and the potential sources of candidates for the position.

3.2 Qualification Standards and Requirements

3.2.1 Qualification standards are developed by the ERP at the time recruitment for a vacant position is initiated or when an existing position, whether encumbered or not, is altered substantially. The standards are developed by or with the supervisor or other management official(s).

3.2.2 Qualification standards are:

a. Based on a job analysis and identifies the breadth and depth of professional, technical, executive, and managerial knowledge, skills, and ability, or other qualifications that are essential and desirable for successful performance in the position.

b. Developed with sufficient specificity that qualitative distinctions among candidates are possible.

c. Job related but may not emphasize Agency-related experience to the extent it precludes well-qualified candidates from outside the Agency from consideration.

3.2.3 The same procedures for developing standards apply to both Career Reserved and General SES positions.

3.2.4 In addition to the job-specific qualifications, ECQs are required for all SES positions. ECQs shall be certified by OPM's QRB for initial career appointments to the SES. The ECQs are:

a. Leading Change.

b. Leading People.

c. Results Driven.

d. Business Acumen.

e. Building Coalitions.

3.3 Vacancy Announcements

3.3.1 In addition to the mandatory requirements found in 5 CFR § 317.501, career SES vacancy announcements will include:

a. Issuing Agency.

b. Announcement Number.

c. Series.

d. Position Title.

e. Pay Plan.

f. Duty Location.

g. Area of Consideration.

h. Pay Ranges.

i. ECQs and Technical Qualification Requirements and Evaluation Methods.

j. Number of Vacancies.

k. Opening and Closing Dates.

l. How to Request Additional Information.

m. How to Apply.

3.3.2 Veteran's preference does not apply to applicants for or members of the SES.

3.4 Applicant Evaluation Procedures

3.4.1 The ERP will evaluate applicants against the qualifications requirements in the vacancy announcement and group the candidates into Highly Qualified, Qualified, and Not Qualified groups. Brief narratives delineating the objective rationale for the Panel's determinations will be recorded in the vacancy file.

3.4.2 Current career SES members or former career SES members with reinstatement eligibility shall be forwarded by the ERP to the EPM for selection consideration without rating and ranking, provided the ERP determines they meet the minimum technical requirements for the position.

3.4.3 The ERP will provide the EPM with written recommendations and the Panel's brief rationale for all Highly Qualified candidates who apply for a vacancy to be filled by a career appointee. Information on candidates not in the Highly Qualified group will be maintained in the vacancy file. Only Highly Qualified candidates are eligible for referral selection consideration.

3.4.4 The EPM shall provide the following for review by management normally within 30 work days of the closing date of the vacancy announcement:

a. NASA Form 1669 describing and justifying the requested action, including the recommended pay.

b. A justification if requesting recruitment, relocation, or retention incentive and/or a salary increase greater than 6 percent.

c. The vacancy announcement, position description, and ERP recommendations/documentation.

d. For selections recommended for initial career SES appointment, a written statement demonstrating the candidate's ability in the five ECQs, as defined in the vacancy announcement.

e. The candidate's application, including responses to technical qualifications requirements.

f. Required concurrences from Mission and Mission Support Associate/Assistant Administrator or functional/program managers with oversight of programs or functions at NASA Centers for selections and other personnel actions in their respective areas of responsibility recommended by EPMs at the Centers.

g. Any other information which may be required by the Administrator, such as a summary of the results of the staffing process followed or the narrative personal endorsement of the recommended candidate, as prepared by the EPM or other executive, as appropriate.

3.5 Documentation Requirements

3.5.1 In accordance with 5 CFR § 317.501, the following records will be maintained for a period of two years after the date of initial career appointment (or the closing date of the vacancy announcement if no selection is made) or until an OPM evaluation, whichever occurs first:

a. The USAJOBS vacancy control number and the vacancy announcement (including the qualification standard).

b. The position description.

c. A list of organizations and addresses to which the vacancy was distributed, if any, and the distribution rationale.

d. Originals of all applications received and electronically retained in NASA Staffing and Recruitment System (STARS).

e. The selection procedures (rating plan) applied.

f. The names and organization titles of ERP members.

g. Written recommendations of the ERP (signed and dated), including a list of the groupings of all applicants and the supporting rationale or rating sheets.

h. Any references, concurrences, or qualifications questionnaires or inquiries obtained on applicants.

i. A record of which candidates were interviewed.

j. A copy of the NASA Form 1669 and any justifications submitted in support of the selection.

k. Documentation regarding any complaints or appeals to the ERP and any ERP findings.

3.5.2 To the extent practicable, required documentation will be maintained electronically through STARS.

3.5.3 The HQ Human Resources Management Division will serve as the repository for such records for the EPMs located at HQ. For Centers, the Center Human Resources offices should be the repository.

3.5.4 The EPM shall retain all versions of a position's qualification standard for the life of the position.

3.5.5 A description of the procedures used by the Center for filling career SES vacancies by merit staffing are available and open to review by anyone requesting the information. Applicants are also entitled, upon request, to know if they were eligible for the position and if they were referred to the selecting official for consideration for appointment. They may have access to qualifications questionnaires or reports of qualifications inquiries about themselves, except for information that would identify a confidential source.

3.6 Noncompetitive Actions

3.6.1 EPMs may identify viable candidates to fill an SES position from among current and former career SES appointees either within or outside the Agency. Filling the position noncompetitively through reassignment, transfer, or reinstatement requires the same concurrences and approvals as a competitive SES selection.

3.6.2 A graduate of an SES Candidate Development Program (CDP) that was open to applicants at least civil service wide and whose ECQs have been certified by an OPM QRB may be appointed to an SES position without further competition under OPM regulations. Filling the position noncompetitively with a certified CDP graduate requires the same Agency concurrences and approvals as a competitive SES selection.

3.7 Executive and Schedule C System (ESCS)

3.7.1 Center/HQ Human Resources offices/NASA Shared Service Center shall ensure that required data is entered into the automated ESCS database at the time proposed selections for initial SES appointments are forwarded for approval.

3.7.2 Center/HQ Human Resources offices shall ensure that the automated ESCS database is updated whenever a reported data element in the system changes or additional actions occur (including reassignments and pay adjustments).


NPR3100.001B

Chapter 4. Probationary Period

4.1 Probationary Period

4.1.1 An executive's initial SES career appointment becomes final only after the individual successfully completes a one-year probationary period.

4.1.2 The probationary period begins on the effective date of the Notification of Personnel Action appointing the executive to the SES as a career appointee.

4.1.3 During the probationary period, the executive's supervisor shall be responsible for:

a. Observing the executive's performance and conduct.

b. Holding periodic, documented discussions of progress, clearly outlining strengths and areas to develop in relation to the position requirements.

(1) At a minimum, conducting one progress review no later than mid-term during the probationary period. Progress reviews are used to identify and resolve problems that constitute obstacles to performance beyond the executive's control, revise the performance plan, provide feedback to the executive on the current level of performance, and explore ways to improve performance, as appropriate.

c. Ensuring the executive completes Agency or QRB recommended training.

d. Initiating action with the Center Human Resources Office, the AA, HCM, and the Deputy Administrator or Associate Administrator, as appropriate, to remove the executive from the SES if it becomes apparent, after full and fair consideration, that the executive's performance or conduct is not suitable for satisfactory executive work.

(1) If it is determined that the employee's performance is unacceptable, the employee may be removed from the SES after receiving the required advance written notice of removal.

(a) A removal for performance need not be based on an official rating of record.

(b) The removal is effective before the last day of the employee's probationary period and is effective on a workday.

(2) If it is determined that the employee's conduct is unacceptable and the employee:

(a) Was covered by the provisions of 5 U.S.C. 7511 immediately prior to appointment to the SES, then the procedures in 5 CFR Part 752 apply to a removal during probationary period for conduct (removal from the civil service).

(b) Was not covered by 5 U.S.C. 7511 immediately prior to appointment to the SES, then the procedures in 5 CFR Part 359 and paragraph 4.1.3.d. (1) (a) and (b) of this NPR apply, including guaranteed placement into another civil service position. In either case, consult a Human Resources Advisor for further guidance.

4.1.4 If it is determined that an SES employee's performance during the one-year probationary period has been acceptable, the EPM shall notify the Center Human Resources office at least ten days prior to the end of the employee's probationary period.


NPR3100.001B

Chapter 5. Pay

5.1 General

5.1.1 The level of pay of an executive will be a reflection of the responsibilities of the position as well as the qualifications, performance, and contributions of the executive.

5.2 Initial Pay Setting

5.2.1 Basic pay may be set at any rate within the SES salary range upon initial appointment to the SES, subject to the maximum rate of basic pay in 5 CFR § 534.404(a). The following guidelines will be followed in making the basic pay determination:

a. Initial appointments will be made at the lowest practicable rate of pay.

b. Current GS employees appointed to an SES position may receive an appropriate increase in pay, normally 6 percent. Proposed salaries exceeding this level will be justified based on appropriate factors, such as the scope and impact of the position, the special or unique qualifications of the selectee, or competing salary offers.

c. The salary of a selectee from the private sector will be set at the lowest practicable level, considering the responsibilities of the position to be filled, the experience and qualifications of the selectee and anticipated contributions, the relative difficulty in filling the position with a highly qualified individual, and current salary.

d. Initial pay determinations will be documented and approved by the Administrator, or designee, and maintained indefinitely or for the tenure of the employee with the Agency.

e. Employees occupying ST or SL positions may be given an increase in pay upon appointment to the SES if the duties of the position and the employee's qualifications relative to the position are warranted.

5.3 Tier Positions

5.3.1 A limited number of executives may be paid above the salary for Executive Level (EX) III, not to exceed EX-II. These salaries are reserved for the highest performers occupying key positions that make the greatest contributions and have the greatest impact on the Agency's success. Appendices D and E contain Tier level descriptions and provide examples of the types of positions that each Tier level could include.

5.3.2 Generally, only employees at or near a salary of EX-III may be considered for advancement to a Tier salary, based on the importance of the position as well as individual performance and contributions to mission success. Advancement to and between Tiers will be considered during the annual performance review process.

5.3.3 The Administrator shall approve any pay action involving a salary above EX-III.

5.3.4 The fact that a position meets a Tier definition does not require that the position be designated as a Tier position, nor does it entitle an incumbent to a Tier salary.

5.3.5 Although the assignment to a Tier is based largely on the position, the expectations are that an individual paid at a Tier salary would continue to occupy positions of equal stature in the future and continue to perform at the highest level.

5.4 Adjusting Pay

5.4.1 As part of the annual performance management process, the Administrator or designee shall authorize pay increases for executives. A performance-based pay increase may be effected the first pay period in January providing the executive has:

a. Completed a one-year SES probationary period.

b. Served under an approved SES performance plan for at least 90 days.

c. Received an official rating of record of at least Successful.

d. Not received a basic pay increase in the last 12 months, with exceptions as indicated in 5.4.4 through 5.4.6 of this directive.

5.4.2 Although the specific increases are subject to change, the range of performance-based increases is expected to appropriately distinguish between low and high performers. Appendix F shows a representative range of performance-based increases.

5.4.3 Increases less than the maximum authorized are appropriate if a larger increase would cause the executive's salary to exceed EX-III (x for non-Tier positions), or would be inconsistent with the salary structure established at a Center for different organizational levels. Increases greater than these amounts shall be approved by the Administrator, based on appropriate justification by the EPM regarding the level of performance and/or contribution of the executive. Increases above EX-III are allowable only for individuals in Tier positions.

5.4.4 Executives with less than 12 months in the SES who:

a. Entered the SES before July 3 of the previous calendar year and received an official rating of record of at least Successful approved by the Administrator may receive a performance-based increase when they have completed their probationary period (for limited term SES, when they complete one year in the SES). Probationary SES may receive an increase to maintain their position in the salary range under 5 CFR § 534.404(b)(4) provided the EPM documents that their performance meets or exceeds expectations, based on an approved SES performance plan. A subsequent performance-based increase upon completion of the probationary period is limited to the difference between the maximum performance-based increase allowed and the increase under 5 CFR § 534.404(b)(4).

b. Entered the SES after July 2 but before October 1 of the previous calendar year may receive an increase to maintain their position in the salary range under 5 CFR § 534.404(b)(4) provided the EPM documents that their performance meets or exceeds expectations, based on an approved SES performance plan, and they are not eligible for any performance-based increase. An executive paid in a Tier may receive such an increase only if the Administrator approves the increase together with either an official rating of record of Distinguished for at least a 90-day period or a Meritorious rating for at least a 90-day period together with a documented exceptionally meritorious accomplishment.

c. Entered the SES October 1 or later are not eligible for either of the above increases.

5.4.5 Executives who received a pay increase within the last 12 months may receive a pay increase the first pay period in January (or other effective date of an adjustment to the minimum or maximum rate of basic pay for the SES salary range) as follows:

a. Executives who received an increase before July 3 may receive an increase to maintain their position in the salary range under 5 CFR § 534.404(b)(4). An executive paid in a Tier may receive such an increase only if the Administrator approves the increase together with an official rating of record of Distinguished for the rating period ending September 30 or a Meritorious rating together with an exceptionally meritorious accomplishment.

b. Executives who received an increase on or after July 2 may receive an increase only with the Administrator's special approval, if otherwise permitted in regulations.

c. If a performance-based increase was given within the last 12 months, e.g., upon completion of the probationary period or due to other delay in granting such increases, the 12-month rule under 5 CFR 534 is waived to align an executive's subsequent performance-based pay adjustment to the performance cycle.

5.4.6 An executive reassigned to a position with greater responsibilities may be considered for an increase in pay. The executive's most recent performance rating, current pay, and earlier pay adjustments will be factored into the decision and requires the Administrator's approval to waive the 12-month rule.

5.4.7 Tier increases will require the Administrator's approval, unless the position previously was approved for a Tier 1 or 2, which normally will be considered by the PRB during the annual performance review.

5.4.8 Unless otherwise authorized by the Administrator or designee, the pay of an employee returning to a GS position from a limited term or limited emergency SES appointment will be set at the rate that would have been in effect had the employee remained in the GS position, including any within-grade increases to which the employee would have been entitled.

5.4.9 Reduction in pay.

5.4.9.1 In accordance with 5 CFR 534.404(j), an executive's basic pay may not be reduced by more than 10 percent in any 12-month period. A management official's decision to decrease an executive's basic pay shall be based on the following:

a. The decision is based on poor performance or conduct related reasons.

b. The executive is provided a written notice 15 calendar days in advance of the effective date.

c. The executive is provided a reasonable time (no less than seven calendar days) to respond orally or in writing and furnish evidence in support of the response.

d. The executive is provided the opportunity to be represented.

e. The executive is promptly provided a written decision and documentation that provides the specific reasons for the pay reduction after the executive's response, if any.

f. The executive is provided an opportunity to request reconsideration by the Administrator within seven calendar days of the final decision.

5.4.9.2 Reductions in pay are not appealable. The Administrator's decision is final and not subject to further review.


NPR3100.001B

Chapter 6. Awards and Executive Development

6.1 Awards

6.1.1 SES members will be considered for all awards and bonuses for which they are eligible under Federal law and OPM guidelines. The Administrator is the final approval authority for SES Presidential Rank submissions, performance awards, and cash incentive awards, unless otherwise delegated (incentive awards only). Award types include:

a. Performance awards that recognize high quality performance during a one-year appraisal period. To be eligible for an SES performance award, the executive should have received at least a "Successful" rating for service performed in an SES career appointment. Award amounts are made in accordance with 5 CFR 534.405.

b. Presidential Rank Awards (PRAs) that recognize extraordinary or sustained accomplishment over at least a three-year period as an SES or equivalent. Eligible SES members hold career appointments and have at least three years of career or career-type Federal service at the SES level. c. Other awards as authorized by law to recognize a single, significant act or contribution that is not tied to overall performance.

6.1.2 The cost of all awards, including PRAs, is borne by the employing agency.

6.2 Executive Development

6.2.1 Executive Development Plan (EDP).

6.2.1.1 SES members shall prepare, implement, and regularly update an EDP.

6.2.1.2 The EDP is reviewed annually and revised according to the ERB, or similar body, and normally addresses the following:

a. Recommended short and long-term experience to meet Agency needs for leadership, managerial improvement, and organizational results.

b. Executive competencies and recommended competencies to strengthen performance.

c. Developmental opportunities and assignments that may include IPA temporary assignments.

6.2.2 NASA provides residential in-house executive education, financial, and logistics support for academic executive education programs and arrangements for developmental work assignments.

6.2.3 Sabbaticals.

6.2.3.1 The Administrator has the authority to grant a sabbatical of up to 11 months during any 10-year period to SES career members who:

a. Have at least seven years of Federal service (two years of which have been in the SES).

b. Are not eligible for retirement.

c. Agree to remain in the Federal service for two consecutive years after the completion of the sabbatical.

6.2.3.2 Sabbaticals can be taken to broaden professional skills and provide an opportunity for personal growth. Sabbatical activities can include:

a. Teaching, study (independent or structured), research, or some combination of these at a college or university.

b. Non-institutional study or research (independent or guided).

c. Periods of relevant and developmental work experience in the private sector with non-profit organizations or with state or local governments.

d. An activity or project not covered above (e.g., bench research, invention, design, or development; trouble-shooting or problem-solving assignments; writing; etc.).

6.2.3.3 While on a sabbatical, the employee retains salary and benefits, and the Agency may grant travel and per diem costs.


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Chapter 7. Other Provisions

7.1 Mobility

7.1.1 The SES is considered a national asset. Mobility involves using a full range of assignment authorities to leverage the skills of executives for greater mission accomplishment and to prepare them for higher levels of service.

7.1.2 Mobility encompasses both temporary and permanent job assignments involving change from previous assignment patterns. This can include details, short- or long-term reassignments and transfers, use of IPA authority, sabbaticals, formal training, and other ways to expose executives to challenges or otherwise expand their capacity to serve.

7.1.3 SES rules require an executive to move when the Agency's need requires it. An executive who declines a management-directed reassignment may be removed through adverse action procedures.

7.2 SES Ethical Standards

7.2.1 SES members will maintain and be held to the absolute highest level of ethics. Every member of the SES is entrusted with the senior management and execution of programs established by our national leadership.

7.2.2 SES members shall complete annual ethics briefings, supplemented with additional training as required, and complete a public financial disclosure report annually, as well as when entering and leaving the SES.


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Appendix A. Definitions

Appointing Authority. The Administrator, or designee, with authority to make appointments in the SES.

Executive Position Managers. Officials-in-Charge of HQ Offices and Center Directors that manage the executive resources within their organizational jurisdictions.

Intergovernmental Personnel Act Assignment. A temporary assignment (two to four years) of employees between Federal agencies and state, local, and Indian tribal governments, institutions of higher education, and other eligible organizations for the purpose of exchanging skilled personnel and facilitating Federal-state-local cooperation. Also known as "intergovernmental mobility assignments," or "IPA mobility assignments."

Performance Review Board (PRB). A board required by law to make recommendations to the Administrator or designee on the performance of senior executives.

Presidential Rank Award. An award granted by the President to career members of the SES or SL/ST, following nomination by their agency and recommendation by the Director of OPM. Meritorious Executive rank is for sustained accomplishment and carries a lump-sum payment of 20 percent of the executive's annual basic pay. Distinguished Executive rank is for sustained extraordinary accomplishment and carries a lump-sum payment of 35 percent of the executive's annual basic pay.

Sabbatical. A sabbatical can be a means for SES members to gain broader knowledge and experience. They can be used for teaching; study (independent or structured); research; developmental work experience in the private sector, non-profit organizations, state, local, or foreign governments; and an activity or a project not covered above.


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Appendix B. Acronyms

CHCO Chief Human Capital Officer
CDP Candidate Development Program
CFR Code of Federal Regulations
ECQ Executive Core Qualifications
EDP Executive Development Plan
EPM Executive Position Manager
ERB Executive Review Board
ERP Executive Resources Panel
ESCS Executive and Schedule C System
EX Executive Level
GS General Schedule
HQ Headquarters
IPA Intergovernmental Personnel Act
NC NASA Charter
NPD NASA Policy Document
NPR NASA Procedural Requirements
OPM Office of Personnel Management
PRA Presidential Rank Award
PRB Performance Review Board
QRB Qualifications Review Board
SES Senior Executive Service
SL Senior Level
ST Scientific and Professional
STARS Staffing and Recruitment System
U.S.C. United States Code
WCD, OHCM Workforce Culture Division, Office of Human Capital Management

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Appendix C. NASA Executive Resources Management Structure

The structure and functional relationships established by NASA for managing the SES are charted below:

NASA Executive Management Structure
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Appendix D. NASA Pay Structure for the SES: Tier Positions

An executive occupying a position authorized by the Administrator as a Tier position may be paid at any salary from the lowest payable SES salary to the top of the Tier. Tier maximum rates will increase if the pay caps are increased.

Tier 1: Top Range (not to exceed EX-II): Senior leadership positions that are most critical for mission success:

  • Deputy Administrator, Associate Administrator, Associate Deputy Administrator, and Deputy Associate Administrator
  • Agency Chief of Staff
  • Mission and Mission Support Associate Administrators
  • Other key Associate/Assistant Administrators with Agency-wide functional responsibility (*listed below)
  • Center Directors
  • Heads of Major Agency Programs and Initiatives and Deputy Associate/Assistant Administrators with Tier 1 programs and initiatives reporting to them of significant scope and importance to the NASA mission, as approved by the Administrator.

Tier 2: Middle Range: Other leadership positions critical to mission success:

  • Full Deputies to positions in the above category
  • Associate Center Directors
  • Other direct reports to positions in the above category such as heads of major divisions at Headquarters or major organizations at the "director for" level at NASA Centers (consider depth and scope of responsibility)

Tier 3: Lower Range: Other high performing individuals whose positions do not fit in the above Tiers but are making key contributions to mission success.

Non-Tier (Tier 4): All other executives.


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Appendix E. Tier 1 Programs/Projects

Tier 1 Programs/Projects include but not limited to:

Orion Multi-Purpose Crew Vehicle (OMPCV)
Space Launch System (SLS)
James Webb Space Telescope (JWST)
Commercial Crew Program (CCP)
Launch Services Program (LSP)
Mars Exploration Program
NASA Engineering and Safety Center (NESC)
NASA Safety Center (NSC)
International Space Station (ISS)
Space Communications and Navigation (SCaN)
Ground Systems Development and Operations (GSDO)

NOTE: The listed above programs/projects will be revised and approved by the NASA Administrator on an annual basis.


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Appendix F. Representative Range of Performance-Based Increases

Rating Non-Tier Tier
Distinguished 4 - 6 % (capped at EX III) 4 - 6 % (capped at top of Tier)
Meritorious 2 - 4 % (capped at EX-III) 2 - 4 % (capped at top of Tier)
Successful Up to 2 % (capped at EX-III) Up to 2 % (capped at top of Tier)
Below Successful 0 % 0%


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