Effective Date: April 22, 2019
Expiration Date: April 22, 2024
|| TOC | Preface | Chapter1 | Chapter2 | Chapter3 | Chapter4 | Chapter5 | AppendixA | AppendixB | AppendixC | AppendixD | AppendixE | AppendixF | AppendixG | ALL ||
The MDAA may authorize use of an alternative format with compatible content.
Figure D-1 Capability Portfolio Management Plan Title Page
Note: The signature of the Chief Information Officer is added to the CPMP title page when the MSC determines that the CP is inherently information technology.
CAPABILITY PORTFOLIO MANAGEMENT PLAN
(CAPABILITY PORTFOLIO TITLE)
Required content is annotated by "Required." Optional content is annotated by "Optional." Optional content is recommended, if applicable. For information within the CPMP that changes frequently (e.g., schedules), the information within the document could simply be a pointer to where the authoritative current information resides.
1.0 CAPABILITY PORTFOLIO OVERVIEW
Optional: Briefly state the background of the CP and its current state including the results of establishing the portfolio, decisions, and documentation. If applicable, provide a brief description of intended future states and desired enhancements to address identified capability gaps.
1.2 Goals and Objectives
Required: State the goals and specific objectives of the CP with clear traceability to the Agency's vision and mission as defined by NPD 1001.0. Goals and objectives should include commitment to safety and mission success. Describe high-level objectives and how these objectives flow down from the CP to components.
1.3 Customers, Beneficiaries, and Stakeholders Identification and Advocacy
Required: Identify the main customers, beneficiaries, and stakeholders of the CP and the process to be used to ensure customer and stakeholder advocacy.
1.4 Domain, Scope, Products, and Services
Required: Describe the capability domain, i.e., the in-house and external capabilities that characterize the broad realm of technical activities and associated products and services within which the CP falls.
Required: Describe the CP scope, i.e., the parameters that define the boundaries of the CP within the capability domain.
Required: Define the CP, including the capability components and enabling infrastructure to be strategically and centrally managed together in an integrated manner to meet NASA's strategic goals and objectives.
Required: Provide a list or catalog of the capability components included in the CP, including the facilities and enabling infrastructure at the NASA Centers.
Required: Describe the products and services to be provided by the CP.
Required: Describe the levels of service (LoS) within the CP necessary to deliver products and services to NASA's programs and projects and external customers.
Required: Establish a description of the "core capability" of the portfolio, i.e., the minimum workforce (FTE/WYE), competencies, assets, equipment, processes, and technologies below which NASA will assume unacceptable risk to current and future missions.
Required: Identify and describe the insight needed into capability components that are within the capability domain of the CP but not included in the CP.
Detailed lists and catalogs will be provided at https://nodis3.gsfc.nasa.gov/OSI_rep/OSI_list.cfm and may also be provided as separate documents or appendices as needed.
Optional: If applicable, provide a list or catalog of external sources - other agencies, industry, and academia.
2.0 AUTHORITY, GOVERNANCE, AND MANAGEMENT
Required: Identify the CP manager and the organization (Headquarters or Center) to which the CP manager reports.
Required: Describe the NASA organizational structure and detailed management roles and responsibilities for managing the CP from the MSC Chair and MSC to the sponsoring MDAA and DPMC to the Centers and CMCs involved including centralized management roles and responsibilities, lines of authority, and reporting.
Optional: Briefly describe the respective roles, responsibilities, and relationships between all parties involved in portfolio capability component operations and sustainment.
Required: Identify the responsibilities of each NASA Center as they relate to CP goals and objectives.
Optional: Illustrate the organization graphically.
3.0 STRATEGIC MANAGEMENT
Required: Briefly describe the scheme for classification and decomposition of the CP.
Optional: Describe the way the CP will relate to other institutions within NASA as well as outside of NASA.
Optional: Establish a consensus with Center Directors and the JPL Lab Director and other key stakeholders on cost elements that will meet the needs of the CP in developing the TCO for the portfolio and its components.
Optional: Describe the process for estimating the TCO for the CP and its components.
Required: Describe the analytical process used to identify and prioritize investments and divestments to the CP to continuously align products and services with changing Agency needs and requirements and to support established objectives and targets for the CP.
Required: Describe the process by which projects initiated by the CP are approved and implemented.
Optional: Briefly discuss how policy and design and development efforts are coordinated to facilitate value-added consistency and standardization across capability components and investments in and divestments of systems, architectures, and technologies.
Optional: Briefly discuss how processes for providing products and services (e.g., customer service agreements, training procedures) are coordinated to facilitate value-added consistency and standardization.
Required: Define the operational norms between the CP manager and Centers, programs, and projects:
a. Establish the thresholds and/or circumstances necessary to enable effective strategic and centralized management of the portfolio (CP-level) and enable efficient operations of capability components (Center-level). Examples include thresholds and/or circumstances for concurrence from the CP manager for:
(1) Investments, improvements, and divestments of capability components.
(2) Internal and external implementation agreements for use of capability components.
(3) Obtaining products and services external to the CP.
(4) Proposed operational changes to a capability component.
(5) Significant changes to the CP baseline plan.
b. Describe the process and engagement points used to review and concur or non-concur. Examples include:
(1) Internal (e.g., between a Center and programs, projects, and other Centers) or external (e.g., Space Act, International) implementation agreements that commit the use of capability components.
(2) Proposed changes to the CP baseline plan.
(3) Investments, divestments, acquisition strategies, procurements, or agreements that seek to either build or develop new capabilities or improve or divest of existing capabilities that fall within the capability domain. Identify methodologies used to adapt concurrence processes to engagement points.
(4) Acquisition strategies, procurements, or agreements to obtain products and services from external capabilities that fall within the capability domain. Identify whether these concurrences are done at the individual acquisition strategy, procurement, or agreement level or at an integrated Center level and any applicable periodicity.
(5) Operational changes to a capability component within the CP.
(6) Termination of plans for investments, divestments, and improvements that previously received CP manager concurrence.
c. Describe the appeal approach for Centers, programs, and projects for non-concurrence decisions by the CP manager.
d. Describe the approach for disagreement resolution.
e. Describe the approach for obtaining the CP manager's evaluation of and recommendation for proposals to be provided to Agency leadership that involve changes to the capability domain.
f. Identify whether a CP baseline plan will be used and if so, how it will be used.
g. Describe any delegations of sourcing decisions to Center Directors and the JPL Lab Director, MDAAs, programs, or projects.
h. Describe any assumption of program and project manager responsibilities by Center Directors and the JPL Lab Director.
i. Describe CP scheduled meetings needed for centralized and strategic management (both informational and decisional).
j. Describe the approach for adjusting the CORLs of portfolio capability components and their LoS.
k. Describe the approach for approving alternate uses of portfolio capability components.
Required: Provide a schedule of CP strategic activities and events and capability component utilization and CORL covering the next five years of the CP. The schedule may include applicable events, such as delivery dates for significant enhancements, major customer-scheduled milestones, scheduled reviews, and updates to the CPCA and CPMP.
The schedule may be provided as a separate document or appendix.
3.3 Alignment of Capacity with Demand
Required: Describe the current Agency and customer demand for the CP's products and services.
Optional: When possible, provide a demand forecast for the next five years.
Required: Discuss how current and future Agency and customer demand for products and services is determined to ensure the CP's ability and capacity (in-house and external) to meet that demand including any assumptions and data sources.
Optional: Describe how current available capacity (i.e., a combination of in-house and external) is matched to meet this demand.
Optional: Describe how significant discrepancies between capacity and demand will be resolved (e.g., changing the operational readiness of capability components or changing access to services from external sources).
3.4 Funding Model(s)
Required: Describe the process of developing the annual budget for the CP.
Required: Identify the TCO of the CP. Include all elements (such as operations, maintenance, and refurbishment) and funding estimates for any planned strategic initiatives, renewals, or upgrades; including workforce and procurements.
Required: Identify yearly New Obligation Authority (NOA) full-cost estimates for operations, facility construction, institutional support (maintenance), enhancements, technology, management and reserves in support of a five-year CP budget.
Required: Identify annual civil-service and contractor workforce levels that are funded with CP resources.
Required: Describe the funding model(s) specific to the CP and the cases of usage.
Required: Identify the sponsoring MDAA resources for the strategic and centralized management of the CP and its components. Describe CP funding model responsibilities levied on Centers, participating Mission Directorates, and other customers to support both fixed and variable costs (e.g., direct labor, consumables, materials, program-unique facility modernizations).
Required: Describe the approach for securing the appropriate level of funding to operate and sustain the CP and its components. Include a description of the different sources of funding and their approximate annual percentage (e.g., CM&O 15 percent, CP direct 55 percent, program direct 25 percent, reimbursable 5 percent).
Required: Include a description of the customer charging methodologies for products and services. This includes the principles and rules for customer charging that are used for detailed cost estimation. How different customers are charged is included within the principles and rules. The charging methodology for NASA program and project customers may differ from the charging methodology for various external customers. For example, the charging methodology for the Rocket Propulsion Testing (RPT) CP may include charging the customer for all resources required to bring a chemical propulsion test stand out of mothball status (CORL 6) to operational status (CORL 1 to 3), supplement the test stand staff for test activities, provide the consumables needed to support the test activities, and return the test stand to mothball status (CORL 6) once test activities are completed. The RPT CP manager is responsible for funding maintenance of all test stands in standby or mothball status (CORL 4, 5, and 6) as appropriate between tests.
Optional: Include a description of the cost estimating processes and guidelines 12 used to develop detailed cost estimates for products and services.
3.5 Controls and Compliance
Optional: Describe the process by which the CP ensures compliance with NASA policies and directives, as well as other applicable requirements.
Required: Describe the process for controlling, tracking, and documenting changes.
Required: Characterize the key CP parameters (e.g., cost, technical, products and services delivered, new capability components) that will require sponsoring MDAA approval to change. Define the thresholds, criteria, and constraints that determine the need for sponsoring MDAA approval of CP actions and significant changes.
Required: Identify the NASA support from other Mission Directorates, Offices (e.g., OCIO, OCE, Office of the Chief Health and Medical Officer (OCHMO), Office of Safety and Mission Assurance (OSMA)), and Centers.
Required: Identify formal agreements necessary for the CP to meet objectives.
Lists of agreements can be provided as separate documents or appendices as needed.
Required: Describe the external partner support necessary to meet CP objectives. Include a brief overview of relationships with each partner.
Required: Identify the commitments being made by each partner and list the specific agreements to be entered into.
Lists can be provided as separate documents or appendices as needed.
Optional: Clearly identify any unique considerations affecting implementation of required NASA policies and processes necessitated by the external involvement.
3.7 Sourcing Strategy and Sourcing Decisions
Required: Describe the sourcing strategy for acquiring CP products and services through capabilities available in-house and through other agencies, vendors, partners, and academia. Sourcing strategy considerations may include but are not limited to the following:
a. Mission Directorate acquisition strategies.
b. Mission risks.
c. Center roles and responsibilities.
d. Agency workforce priorities, including maintenance of internal competencies.
e. Financial and schedule factors.
f. In-house and external capacity.
g. Maturity and availability of the capabilities of external sources.
h. Specialized capability.
i. Customer impacts.
j. CP transformational objectives.
Optional: Describe the rationale for sustaining in-house capabilities, civil-service workforce, contractor workforce, and NASA facilities.
Optional: Describe how the appropriate balance between NASA sources and external sources is determined.
Optional: Provide a high-level evaluation of opportunities to leverage the expertise and capabilities of external sources.
Optional: Discuss how the CP periodically reevaluates the sourcing strategy to achieve an optimized portfolio including adjustments in response to changes in the products and services required by customers and changes in internal and external capabilities.
Required: Describe the approach for making sourcing decisions, i.e., assigning customer (NASA and external) requests to capability components. Sourcing decision considerations may include but are not limited to the following:
a. The CP sourcing strategy.
b. Alignment of capability component capabilities, capacity, availability, and constraints with customer requirements.
c. Impact of using a non-local capability on customers and other stakeholders.
d. Customer and other stakeholder.
e. Need for product and service delivery at specific locations.
f. Priorities for optimizing critical resources. Required: Identify any delegation of responsibilities for sourcing decisions to Center Directors and the JPL Lab Director, MDAAs, program managers, or project managers.
Required: Describe how performance of the CP will be evaluated, including identification of performance metrics with goals and targets needed to achieve the CP objectives. Identify performance metrics in an objective, quantifiable, and measurable form.
3.9 Capability Portfolio Strategic Development Plan
Required: Describe the approach and timeframe for developing and maintaining a CP Strategic Development Plan. CP Strategic Development Plan content may include but is not limited to:
a. The needed future state (combination of workforce (FTE/WYE), competencies, assets, equipment, processes, and technologies) for the capability components and the processes for delivering required products and services.
b. How the CP evolves to achieve alternative methods and processes for delivery of products and services and alternative approaches to sourcing (i.e., balance of in-house and external).
c. The alignment of the CP Strategic Development Plan with Agency and Center Master Plans.
d. Principles and guidance for design and development of the CP and its components.
e. How services, systems, architectures, technologies, processes, and metrics are consistent or standardized within the CP and among its components when it adds value.
f. How future needs and requirements, capability gaps, technology trends, opportunities, threats, and changes to internal and external environment are identified, prioritized, and planned.
The CP Strategic Development Plan may be provided as a separate document or appendix.
3.10 Data Management
Required: Describe the approach to CP data management including what data will be captured, how the data will be collected, stored, described, organized, accessed, and archived; plans for data rights; plans for data services, and alignment with Agency information management and information technology security policies, standards, procedures, and waivers. Include documentation of changes.
Required: Describe the archival method for information used in support of decisional reviews, MSC decision packages, and MSC decisions related to the CP.
3.11 Risk Management
Required: Summarize the risk management process used for the CP, including appropriate actions to mitigate risk to the CP and actions to mitigate risks to customers as defined in NPR 8000.4.
Required: Specify the approach, criteria, and review team structure for planned CP reviews. Provide the frequency and approximate timeframes for these reviews.
Optional: Describe how the CP manager selects review team members for internal reviews and coordinates selection of review team members with the sponsoring MDAA for stakeholder reviews and external reviews.
Optional: Describe the approach to support other reviews, such as the MSC CPM Annual Review and the Agency Baseline Performance Review (BPR).
Required: Identify any additional decisional reviews required by the MSC Chair during the Strategic Management set of activities.
5.0 RECORDS MANAGEMENT
Required: Describe how CP records will be managed as defined in NPR 1441.1.
Required: Identify known waivers that the CP has obtained or will obtain against NASA policies, directives, or applicable external requirements. Waivers will be archived consistent with Section 3.9, Data Management above.
7.0 DISSENTING OPINIONS
Required: Briefly discuss the process for handling Dissenting Opinions.
8.0 CPMP ACTIVITIES LOG
Required: Provide and maintain a log of all CPMP activities, including revisions that reflect all changes to the original CPMP. This log includes the information shown in Table D-1 and may be supplemented with an attached addendum for each change that describes the change. The CPMP should be revalidated or updated every five years. Updates may occur more frequently if there are significant changes.
Table D-1 Sample Capability Portfolio Management Plan Activities Log
|Date||Event||Change||Adden-dum||Decision Review||Sponsoring MDAA Sign||Participating MDAA(s) Sign||Center Director(s) and the JPL Lab Director Sign||CP Mgr. Sign||CIO Sign when req'd|
|dd/mm/yy||Approval of significant change||Addition of change||Ref. #1||Yes|
| TOC | Preface | Chapter1 | Chapter2 | Chapter3 | Chapter4 | Chapter5 | AppendixA | AppendixB | AppendixC | AppendixD | AppendixE | AppendixF | AppendixG | ALL |
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