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

Preface

P.1 Purpose

a. This directive establishes the procedures and responsibilities for the NASA Performance Management System for the Senior Executive Service (SES). It provides Agency direction, which should be used in conjunction with referenced statutory and regulatory requirements.

b. This system encourages excellence in performance; facilitates the accurate evaluation of performance based on results; provides for the systematic appraisal of performance; and provides a basis for pay, performance awards, development, retention, removal, and other personnel decisions. The Performance Management System enhances the achievement of Agency goals by expecting and encouraging managerial excellence in individual and organizational performance, achieving results through effective executive leadership, and holding executives accountable for results.

c. The Performance Management System focuses on enhanced communication and clarity of goals and provides for:

(1) Participative performance planning.

(2) Setting and communicating individual and organizational goals and expectations that are linked to strategic planning initiatives and results-oriented goals.

(3) Establishing a framework aimed at a crosscutting and integrated approach to achieving meaningful results and improving performance in accordance with the GPRA Modernization Act of 2010, Pub. L. 111-352, 124 Stat. 3866 (2011).

(4) Continual performance monitoring to assess achievements.

(5) Annual appraisals of performance using measures that balance individual and organizational results with customer, employee, and stakeholder perspectives.

P.2 Applicability

a. This directive is applicable to NASA Headquarters and NASA Centers, including Component Facilities and Technical and Service Support Centers (Agency-wide).

b. This directive covers all career, noncareer, limited term, and limited emergency senior executives covered by Performance Appraisal in the Senior Executive Service, 5 U.S.C. § 4311-4315, employed by NASA Headquarters and NASA Centers, including Component Facilities and Technical and Service Support Centers (Agency-wide).

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

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

e. In this directive, all mandatory actions (i.e., requirements) are denoted by statements containing the term "shall." The terms "may" or "can" denote a 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.

f. Office of the Inspector General has statutory independence and may create a separate performance management system that meets its mission requirements.

P.3 Authority

a. Performance Appraisal in the Senior Executive Service, 5 U.S.C. §§ 4311-4315.

b. Managing Senior Executive Performance, 5 CFR pt. 430 subpt. C.

c. Awards, 5 CFR pt. 451.

d. NASA Policy Directive 3000.1, Human Capital Management.

P.4 Applicable Documents and Forms

a. General Appointment Provisions, 5 U.S.C. § 3392 (c).

b. Removal from the Senior Executive Service, 5 U.S.C. § 3592 (a) (2).

c. Limited Appointments to Senior Executive Service positions, 5 U.S.C. §?9813.

d. GPRA Modernization Act of 2010, Pub. L. 111-352, 124 Stat. 3866 (2011).

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

f. NPD 1382.17, NASA Privacy Policy.

g. Office of Personnel Management's (OPM) Guide to Recordkeeping/GOVT-2 requirements.

h. NASA Performance Management Manual for Senior Executives.

P.5 Measurement/Verification

a. The Performance Review Board (PRB) evaluates the effectiveness of the Performance Management System to ensure that:

(1) The results of the appraisal process take into account the Agency's assessment of its performance against program performance measures.

(2) The appraisal process makes meaningful distinctions based on relative performance.

(3) Salary rate adjustments, performance awards, and levels of pay based on the results of the appraisal process are commensurate with the level of individual performance and/or contribution to the Agency's performance.

(4) Findings of the evaluation are reported and recommendations made for process improvements to the Executive Position Managers (EPMs) and policy changes to the Office of the Chief Human Capital Officer (OCHCO).

P.6 Cancellation

NPR 3435.1C, NASA Performance Management System for the Senior Executive Service, dated November 19, 2014.

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