NASA Procedural Requirements

NPR 3435.1D Effective Date: December 07, 2020 Expiration Date: December 07, 2025

Subject: NASA Performance Management System for the Senior Executive Service (Updated with Change 1, on August 3, 2023)

Responsible Office: Office of the Chief Human Capital Officer

Chapter 1. Responsibilities

1.1 Administrator

1.1.1 The Administrator, or designee, shall:

a. Approve the following for each senior executive:

(1) Annual Summary Rating.

(2) Performance bonus.

(3) Salary rate adjustment as follows:

(a) For a percentage of salary increase greater than that approved for a specific Annual Summary Rating.

(b) To a Tier position and any salary adjustment to a rate greater than Executive Level III.

b. Provide annual organizational assessments and evaluation guidelines.

c. Appoint the chairpersons and members of the PRB and any other Senior Executive Committees (SEC) or boards.

1.2 Deputy Administrator

The Deputy Administrator, or designee, may serve as the Chair of the SEC or other boards and make recommendations to the Administrator regarding all of the matters listed in paragraph 1.1.1a. above.

1.3 Associate Administrator

a. Assess the Agency's overall performance with respect to each of its particular missions, components, programs, policy areas, and support functions.

b. Approve the salary rate adjustment criteria based on Annual Summary Ratings, taking into account the assessment of the Agency's performance.

c. Oversee the Performance Management System.

1.4 Chief Human Capital Officer (CHCO)

a. The CHCO, or designee, is responsible for assisting the Administrator in the overall management of the SES, and will:

b. Oversee and coordinate SES systems dealing with performance management and compensation.

c. Provide an Executive Secretary and direct staff support to the PRB and other boards as established.

d. Set direction and determine the requirements for the maintenance, access, transfer, as well as destruction of Employee Performance Files in accordance with this directive, applicable regulations, OPM's Guide to Recordkeeping, OPM/GOVT-2 requirements, Agency record retention requirements, and NPD 1382.17, NASA's Privacy Policy.

1.5 Executive Position Manager (EPM)

1.5.1 Each EPM (Center Directors and Officials-in-Charge of Headquarters Offices) shall:

a. Ensure meaningful distinctions are made based on relative performance that takes into account an assessment of the Agency's performance against relevant program performance measures.

b. In accordance with yearly executive performance official guidance, recommend the following for subordinate senior executives to the appropriate board or authority:

(1) Performance Summary Rating level (i.e., Initial Summary Rating).

(2) Salary rate adjustment:

(a) For a salary rate above the Executive Level III pay cap.

(b) For a percentage of salary increase greater than that approved for a specific Annual Summary Rating.

(3) Advancement to a higher Tier position.

(4) Performance based actions.

c. Provide training and disseminate information on the Performance Management System to each subordinate senior executive.

1.6 Performance Review Board (PRB)

1.6.1 PRB(s), in addition to the overarching responsibilities contained in NASA PRB, NC 1000.9, shall:

a. Recommend salary rate adjustment criteria based on Annual Summary Ratings taking into account the assessment of the Agency's performance.

b. Evaluate the effectiveness of the Performance Management System, report the findings of the evaluation, and make any appropriate recommendations for process improvement to the Performance Management System and appropriate policy changes to the CHCO.

1.6.2 More than one-half of the PRB members will be career appointees when considering a career appointee's appraisal or performance award. PRB members may not participate in deliberations involving their own appraisal.

1.7 Rating Official

1.7.1 The Rating Official of a senior executive shall:

a. In consultation with the senior executive, develop a performance plan that describes the individual and organizational expectations for the appraisal period and sets the requirements against which performance will be evaluated.

b. Establish a performance plan at the beginning of each appraisal period (normally within 30 days) or within 30 days of the executive's assignment to a position.

c. Monitor the senior executive's performance, conduct at least one progress review, and provide feedback to the senior executive on progress in accomplishing the performance expectations described in the performance plan during the appraisal period.

d. Hold the senior executive accountable for the performance management of his/her subordinate employees.

e. Appraise, in writing, at the end of the appraisal period the senior executive's performance results relative to his/her performance requirements and assign an Initial Summary Rating. The Rating Official will consider all available information that impacts the overall performance, including leadership behaviors, accomplishments, results, and conduct.

f. Ensure that the appraisal of a senior executive is based on both individual and organizational performance, taking into account such factors as:

(1) Results achieved in accordance with the Agency's strategic goals, objectives, outcomes, Annual Performance Goals, and/or Agency-specific goals, and/or external commitment within the senior executive's mission-related or functional area of responsibility.

(2) Customer satisfaction, to the extent applicable.

(3) Employee perspectives.

(4) Meeting equal employment opportunity, diversity, and safety goals and complying with merit system principles.

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