Procedural
Requirements
Effective Date: April 22, 2019
Expiration Date: November 01, 2024
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NASA Procedural Requirements |
NPR 8600.1 Effective Date: April 22, 2019 Expiration Date: November 01, 2024 |
| | TOC | Preface | Chapter1 | Chapter2 | Chapter3 | Chapter4 | Chapter5 | AppendixA | AppendixB | AppendixC | AppendixD | AppendixE | AppendixF | AppendixG | ALL | |
3.1.1 Initiate Effort to Establish a Capability Portfolio
3.1.1.1 The MSC shall initiate the effort to establish a CP. The MSC is responsible for ensuring that the start of a new CP is in line with the Agency’s vision and mission as defined in NPD 1001.0. The decision to initiate the effort will be documented in an MSC decision memorandum.
3.1.1.2 The MSC shall appoint the sponsoring MDAA for the CP.
3.1.1.3 The sponsoring MDAA may allocate discretionary funds or utilize funding specifically designated by the Office of the Administrator to conduct activities associated with establishing a CP. These funds may be allocated by the MDAA to specific Centers, managed internally, or used to fund external studies associated with the potential CP.
3.1.1.4 The Office of the Chief Information Officer (OCIO) shall advise the MSC whether a CP or part of a CP is inherently information technology (mission, corporate, or industrial control systems).
3.1.2 Establishment Activities
3.1.2.1 The sponsoring MDAA shall:
a. Select a CP manager to manage the effort to establish the CP (i.e., initiate scoping and initial planning). If the CP manager resides at a Center, the MDAA coordinates the selection of the CP manager with the Center Director.
b. Provide to the CP manager, in writing, the goals and objectives, the capability domain and preliminary scope, and the constraints of the CP as part of Establishment activities. This may be in the form of a one-page document signed by the MDAA, budget guidance, or other document as needed for the type, size, and complexity of the CP.
c. Establish a management and governance structure for each CP sponsored by the Mission Directorate.
d. For each CP sponsored by the Mission Directorate, coordinate with the CP manager to develop and annually update a five-year CP budget commensurate with CP goals and objectives, CP operational norms, and funding responsibilities (one or more funding models), and establish a process to secure the level of funding needed to operate and sustain the CP and its components.
3.1.2.2 The CP manager shall conduct Establishment activities working collaboratively with the Centers that operate components of the proposed portfolio and with the sponsoring and participating Mission Directorates. These activities include the following:
a. Developing a strategy for managing the CP.
b. Creating initial plans for managing the portfolio.
c. Finalizing the scope of the CP.
d. Developing financial and resource management processes that may include a customer charging methodology, an estimate of and process for determining the TCO for the portfolio and its capability components, a process to identify annual funding requirements, and a process to establish and allocate any resources.
e. Establishing the sourcing strategy and approach for making sourcing decisions for the CP.
f. Defining operational norms and thresholds.
3.1.2.3 The CP manager will develop a strategy for managing the portfolio that includes the following:
a. Identifying the environment in which the CP will be managed.
b. Identifying the CP customers, stakeholders, and partners.
c. Identifying constraints on the CP and opportunities available to the portfolio.
d. Identifying areas of high risk for the portfolio.
e. Developing strategic themes or focus areas for the portfolio, their alignment with NASA’s strategic goals, and their associated value.
f. Developing a strategic direction for evolution of the portfolio that capitalizes on strengths, identifies investment and divestment priorities, and addresses weaknesses, gaps, and risks. This includes identifying the following when possible:
(1) Strategic CP investments, divestments, improvements, and replacements.
(2) Technology development.
(3) Estimated resource requirements.
3.1.2.4 The CP manager will create an initial plan for managing the CP that includes the following:
a. Goals, objectives, and targets for the CP.
b. Products and services and the level of services to be provided by the CP to NASA programs and projects and external customers.
c. The CP’s governance and management structure and approach.
d. The organizational structure, roles, and responsibilities.
e. How performance of the CP will be evaluated, including identifying performance metrics.
f. Thresholds, criteria, and constraints that determine the need for a decisional review to approve CP significant changes or that determine the need for review by the sponsoring MDAA to approve CP actions and changes.
g. The review approach.
h. The approach to data management at the CP level.
i. Any documentation needed (such as a CP risk management plan 4).
3.1.2.5 The detailed planning is completed as part of the Strategic Management activities. The CP manager also identifies the timeframe for completion of detailed planning and approval of the CPMP. (See Section 3.2 for information on detailed planning and the CPMP.)
3.1.2.6 Using the MDAA-provided goals and objectives, capability domain and preliminary scope, and constraints of the CP, the CP manager will finalize the CP scope and identify the specific collection of functionally similar site-specific capability components and enabling infrastructure that comprise the CP. This includes gaining an understanding of the capabilities associated with the portfolio that exist within NASA, other agencies, industry, and academia, as well as characterizing capabilities within the domain that will not be included in the portfolio. It also includes conducting an analysis to understand current and future needs and requirements for the CP’s products and services aggregated across all Mission Directorates, programs, and projects. The CP manager will do the following:
a. Develop and maintain an inventory for the CP that includes all portfolio capability components and the products and services delivered. The inventory should include detailed information, such as workforce (Full-Time Equivalent (FTE)/Work-Year Equivalent (WYE)), critical skills and competencies, assets, equipment, management and operational processes, and technologies in development or needed to address capability gaps or improvements.
b. Establish and maintain a scheme for classification and decomposition of the CP that facilitates planning, control, cost analysis, and other analyses, such as identification of capability gaps and excess capacity. For example, the assets/capabilities in the Space Environments Testing (SET) portfolio might be broken down into thermal vacuum chambers, vibration tables, acoustic cleanrooms, and other assets.
c. Establish and maintain a description and inventory of the “core capability,” which is the minimum workforce (FTE/WYE), competencies, assets, equipment, processes, and technologies below which NASA will assume unacceptable risk to current and future missions.
d. Develop and maintain a catalog of external sources used by the CP to deliver products and services.
e. Characterize the insight role for capabilities within the domain that are not included in the portfolio. Insight may include identifying relevant capabilities outside of NASA but within the United States and determining the level of detail needed on each identified capability, such as the availability to NASA customers and the type and cost of products and services provided. The insight needed may vary from one CP to another.
3.1.2.7 The CP manager will estimate the TCO for the portfolio and its capability components; support the sponsoring MDAA in developing and annually updating a five-year CP budget commensurate with CP goals and objectives, CP operational norms, and funding responsibilities (one or more funding models) for the CP; and establish a process to secure the level of funding needed to operate and sustain the CP and its components.
3.1.2.8 In coordination with Centers and the sponsoring and participating MDAAs, the CP manager will develop financial and resource management processes that may include the following:
a. A transparent customer charging methodology for products and services. This includes a description of cost items, categories, and the structure used for customer charging.
b. A process to determine the past and current TCO for the CP and its components, including identification of the cost elements necessary to meet the needs of the CP. The TCO is broken down by customer and Mission Directorate contribution. This includes program direct, external customer reimbursable, Center Management and Operations (CM&O), and CP direct funding (e.g., the Rocket Propulsion Testing (RPT) portion of total funding).
c. A process to identify annual funding requirements based on the CP TCO and investment plans, update the budgets, and establish and update the CP funding model(s).
d. A process to establish and allocate any resources provided annually to portfolio capability components to achieve the needed Capability Operational Readiness Level (CORL) and to maintain those capability components. (See Appendix F for CORL information.)
3.1.2.9 The CP manager will establish a sourcing strategy and the approach for making sourcing decisions in collaboration with the sponsoring and participating MDAAs, Center Directors, and the JPL Lab Director with portfolio capability components at their Centers.
3.1.2.10 The CP manager will collaboratively define the operational norms between the CP manager, programs and projects (as appropriate), and Centers and establish any thresholds necessary to enable effective strategic and centralized management of the portfolio and enable efficient operations of portfolio capability components. (Operational norms and thresholds are documented in the CPCA and CPMP.)
3.1.2.11 The sponsoring MDAA serves as the selecting official for a CP advisory board if it is determined that such a board is needed for a CP. The board should include representation from each Center and participating Mission Directorate utilizing services provided by the CP, the sponsoring Mission Directorate, and the Centers that host portfolio capability components. If the CP is inherently information technology, the board should also include representation from OCIO.
3.1.2.12 In support of CPM, the sponsoring and participating MDAAs shall assign a Mission Directorate CP point of contact (POC) for each CP.
3.1.2.13 In support of CPM, Center Directors and the JPL Lab Director:
a. Shall appoint Center CP POCs for the CP(s) that include components at the Center.
b. Will support CP managers in defining operational norms between the CP manager, program and project managers (as appropriate), and Centers and in establishing any thresholds necessary to enable efficient operations of portfolio capability components at the Center. (Operational norms and thresholds are documented in the CPCA and CPMP.)
c. Will support CP managers in establishing the metrics necessary for strategic insight and management of the portfolio capability components at the Center. The metrics are documented in the CPCA and CPMP.
d. Will support the CP manager in developing financial and resource management processes.
e. Will coordinate with the CP manager and other key stakeholders to establish agreement on charging methodologies for the CP. The charging methodologies are documented in the CPCA and CPMP.
f. Will support the CP manager in developing the sourcing strategy and approach to making sourcing decisions.
3.1.2.14 In support of CPM, the Chief Information Officer shall:
a. As the Information Technology Council (ITC) Chair and Decision Authority, review and approve CP investments and divestments in information technology capabilities that are governed under NPD 2800.1 and NPD 2810.1.
b. Appoint OCIO CP POCs for CP(s) that are determined by the MSC to be inherently information technology.
3.1.2.15 In support of CPM, the Chief Financial Officer shall support Mission Directorates and CP managers in establishing and validating CP funding model(s).
3.1.3 Capability Portfolio Commitment Agreement
3.1.3.1 The CPCA is an agreement between the MSC Chair and the sponsoring MDAA and is necessary for the CP to transition from Establishment to Strategic Management. The content of the initial CPCA reflects the maturity of the CP at the beginning of Strategic Management. Prior to approval of the CPCA, the sponsoring MDAA coordinates with the MSC Chair, any participating MDAAs, and any Center Directors and the JPL Lab Director that have portfolio capability components that reside at their Centers to ensure their commitment to support the CP.
Table 3-1 Approval for CPCA
| MSC Chair | Approves |
| Sponsoring MDAA | Recommends |
| Participating MDAAs | Concur |
| Center Directors and the JPL Lab Director with portfolio capability components | Concur |
| Center Directors and the JPL Lab Director without portfolio capability components | Informed |
| Chief Information Officer (when the MSC has determined that the CP is inherently information technology) | Concurs |
| Note: Non-concurrences that cannot be resolved at the CP manager level are elevated to the sponsoring MDAA level. Non-concurrences that cannot be resolved at the sponsoring MDAA level are elevated to the MSC Chair. | |
3.1.3.2 The sponsoring MDAA with support from the CP manager shall develop a CPCA. The CPCA documents the results of the Establishment activities and includes but is not limited to the following: (Required CPCA content is indicated.)
a. CP goals and objectives. (Required)
b. Products and services to be provided. (Required)
c. Capability domain and CP scope. (Required)
d. Plan for achieving CP goals and objectives. (Required)
e. Metrics for evaluating overall CP performance. (Required)
f. CP authorities and governance and organizational structure. (Required)
g. Timeframe for completion of CPMP. (Required)
h. Operational norms (in as much detail as possible).
i. Thresholds, criteria, constraints, and circumstances (in as much detail as possible) including thresholds for a significant change decisional review.
j. Estimated cost for the CP to operate. (Required)
k. Approach for securing funding.
l. Funding model(s) (in as much detail as possible). (Required)
m. CP sourcing strategy and approach for making sourcing decisions (in as much detail as possible). (Required)
n. High-risk areas. (Required)
o. Internal and external dependencies and agreements. (Required)
p. Planned reviews. (Required)
3.1.3.3 The CPCA may take the form shown in the template provided in Appendix C or any other form as appropriate for the type, size, and complexity of the CP.
3.1.3.4 The sponsoring MDAA recommends the CPCA for approval to the MSC Chair. Center Directors and the JPL Lab Director who host portfolio capability components at their Centers and participating MDAAs shall concur or non-concur on the CPCA. A written explanation for a non-concurrence should be provided.
3.1.3.5 The Chief Information Officer shall concur or non-concur on the CPCA if the MSC has determined that the CP is inherently information technology. A written explanation for a non-concurrence should be provided.
3.1.3.6 The MSC Chair shall approve or disapprove the CPCA and provide rationale.
3.1.3.7 The CP manager shall revalidate or update the CPCA every five years. Updates may occur more frequently if there are significant changes as defined in the CPCA and as determined by the CP manager or sponsoring MDAA. The updated CPCA is reviewed and approved using the same process as the original.
3.1.4 Approval to Transition to Strategic Management
3.1.4.1 The MSC Chair shall conduct a decisional review to determine approval for a CP to transition to Strategic Management activities. The decisional review is held at the MSC.
a. If Establishment planning is not sufficient to approve the transition, the MSC Chair may direct the CP manager to continue the Establishment effort or to modify the Establishment plans based on identified weaknesses.
b. If the MSC Chair determines that concepts for the potential CP do not meet minimum requirements, a decision to discontinue the Establishment effort may be made.
c. If the Establishment planning is sufficient, the MSC Chair authorizes the CP to transition to Strategic Management activities.
3.1.4.2 As part of the decisional review, the MSC Chair reviews the CPCA and any other relevant data requested to ensure that the CP objectives are aligned with the Agency’s vision and mission as defined by NPD 1001.0.
3.1.4.3 The decision is documented in retrievable MSC documentation. The documentation should include the authorization to transition to Strategic Management activities, any other decisions made, and any actions assigned. If no changes are required following the decisional review, the MSC Chair signs the CPCA. If changes are required, the CPCA is revised, all signatures are obtained, and the document is resubmitted to the MSC Chair for final signature.
3.2.1 Strategic Management Activities
3.2.1.1 Developing and Implementing Activities and Associated Processes
The CP manager shall develop processes and conduct Strategic Management activities for the CP. 5 Once developed, these activities and associated processes are documented in the CPMP and are repeated throughout the lifespan of the CP. (See Section 3.2.2.) Strategic Management activities include the following:
a. Update, maintain, and implement processes developed as part of the Establishment activities:
(1) Maintain the overall CP strategy.
(2) Complete detailed plans for managing the portfolio.
(3) Update the scope of the portfolio, including updating capability inventories and catalogs and maturing the understanding of customer requirements. (See Section 3.2.1.2.)
(4) Refine and maintain the estimated annual cost, funding models, and processes for securing funding. (See Section 3.2.1.5.)
(5) Mature, adjust, and implement the sourcing strategy and approach for making sourcing decisions. (See Section 3.2.1.3.)
b. Develop and implement processes for strategically and centrally managing and maintaining oversight of the CP’s capability components; understanding and influencing current and future Agency demand; evaluating CP performance; and managing change, improvement, and evolution of the CP. (These processes are described in Sections 3.2.1.4, 3.2.1.6, and 3.2.1.7, respectively.)
3.2.1.2 Understanding Customer Requirements
The CP manager will develop and maintain a process for understanding and influencing current and future Agency demand for CP products and services to ensure the ability and capacity (through the in-house and external sources) to meet those demands and to achieve Agency objectives in fostering and servicing demand. This process may include activities to:
a. Establish and maintain a constructive relationship with customers (e.g., programs, projects, and external customers that need products and services) and other stakeholders (e.g., Mission Directorate CP POCs, Centers operating portfolio capability components, the CIO, and Technical Fellows).
b. Coordinate with customers and other stakeholders (NASA and external) to identify:
(1) Sources of demand, demand characteristics (such as demand confidence, constraints, and purposes of need), and strategic requirements to inform both CP strategy and operational plans.
(2) New or improved portfolio capability components that are needed to meet requirements for products and services.
c. Maintain communication and liaison with customers to assure best fit of capabilities (combination of in-house and external) with customer needs and requirements.
d. Periodically collect and aggregate Agency requirements to create, maintain, and confirm a CP demand baseline and analyze and prioritize requirements from sponsoring and participating MDAAs, Center Directors and the JPL Lab Director, program and project managers (as appropriate), external customers, and other stakeholders, such as Technical Fellows and groups performing research and innovation.
3.2.1.3 Managing the Sourcing Strategy and Sourcing Decisions
The CP manager will strategically and centrally manage the sourcing strategy and sourcing decisions 6 for assigning customer requests to capability components available in-house and through other agencies, vendors, partners, and academia. (See Appendix D for detailed information on the sourcing strategy and the approach for making sourcing decisions, including applicable considerations.) This may include the following:
a. Assessing historical demand and projected future needs to define demand patterns for the purpose of understanding and predicting the impact of mission needs on the portfolio and informing the sourcing strategy.
b. Maturing the sourcing strategy through analysis and prioritization based on value, mission criticality, customer and source risk, and overall Agency cost implications.
c. Surveying the capabilities of external sources.
d. Periodically reevaluating and adjusting the sourcing strategy in response to changes in the products and services required by customers and changes in internal and external capabilities (e.g., when external sources develop capabilities for products and services that are equal to or better than those available in-house).
e. Periodically reevaluating and adjusting the approach for making sourcing decisions in accordance with changes to the sourcing strategy.
f. Making sourcing decisions in accordance with the defined approach.
3.2.1.4 Overseeing the Capability Portfolio and Its Components
The CP manager will strategically and centrally manage and maintain oversight of the capability components within the portfolio to achieve the right mix of capabilities, capacity, and levels of service (LoS) and to ensure that the CP achieves the capacity needed (for individual components and the entire portfolio) to meet customer needs and requirements in a cost-effective and timely manner. The CP manager will:
a. Communicate with CP POCs of Centers that deliver products and services to provide needed and effective guidance, communicate CP strategic direction, and maintain awareness of local tactical plans.
b. Maintain aggregated, integrated operational plan (portfolio level) for delivery of products and services that translate and align with the CP overall strategy and maintain oversight of products and services delivered.
c. Establish, maintain, and update processes and guidelines for developing cost estimates for delivering products and services to customers.
d. Conduct oversight of financial resources.
e. Establish reporting requirements for all capabilities within the CP. Reports may include operational plans for delivery of products and services at the capability component level, actual deliveries of products and services, maintenance and improvement investments and divestments, unscheduled maintenance, corrective actions, facility utilization, risks, and performance metrics.
f. Establish a process for maintaining cognizance and insight into capability components within the capability domain that are not included in the portfolio.
g. Facilitate value-added consistency and standardization across capability components in developing processes for providing products and services (e.g., customer service agreements, training procedures).
h. Establish operational norms for adjusting the CORLs of portfolio capability components and their LoS based on targeted Agency capacity and demand.
i. Establish operational norms for approving alternate uses of portfolio capability components in support of innovation and new customers.
j. Work collaboratively with Centers to establish and maintain appropriate staffing levels and identify the competencies needed for portfolio capability components.
3.2.1.5 Estimating the Annual Cost and Securing Funding
The CP manager will refine and maintain the estimate of the TCO for the portfolio and its capability components, support the MDAA in updating the CP funding model(s), and coordinate efforts to secure the appropriate level of funding to operate and sustain the portfolio. (The initial annual cost estimate, funding model(s), and processes for securing funding are developed as part of the Establishment activities. (See Section 3.1.2.1 (d).) Securing funding may include the following:
a. Providing input relative to CP strategy and priorities into strategic planning guidance and program resource guidance documents.
b. Ensuring that planning and budgeting and the investments and divestments described are aligned with NASA mission needs and requirements.
c. Collaborating with Centers to identify and resolve budget issues.
3.2.1.6 Evaluating Capability Portfolio Performance
The CP manager will assess the performance of the CP and its components and identify changes needed to CP strategy, objectives, processes, products, and services to improve reliability, quality, performance, and cost effectiveness. The CP manager will:
a. Identify CP risks and develop and ensure implementation of actions to mitigate risks.
b. Analyze planned versus actual CP performance and identify trends. Collaborate with Centers to determine underlying causes of performance problems and identify, prioritize, and ensure implementation of changes needed to address those causes.
c. Conduct and support planned reviews. (See Sections 2.5.2 and 3.2.3.2.)
d. Obtain additional advice, input, and recommendations from stakeholders, such as Mission Directorate, OCIO, Center CP POCs, and a CP advisory board.
3.2.1.7 Managing Change, Improvement, and Evolution
The CP manager will strategically and centrally manage change, improvement, and evolution of the CP and its components to continuously align products and services delivered by the CP with changing Agency needs and requirements and to support established objectives and targets for the CP. This may include:
a. Analyzing requirements and identifying and proposing strategic investments and divestments to address capability gaps, advancements in technologies, needs for capability enhancements, opportunities, threats, and new and changed products and services needed to support customers.
b. Developing and maintaining a CP Strategic Development Plan that provides a detailed description of the needed future state for the portfolio capability components and the processes for delivering products and services. This plan:
(1) Defines the process and approach to evolve the set of portfolio capability components to better support current and future customers and requirements.
(2) Informs the development and prioritization of changes to be implemented.
(3) Serves as a guide for the assessment of infrastructure improvements and associated investments including modernization, upgrades, and new construction.
(4) Addresses funding sources.
(5) Addresses the scope of projects that may be needed.
(6) Addresses the strategic divestments and investments that need to be aligned with Center Master Plans and the Agency Master Plan.
c. Evaluating the financial impact of proposed changes to the CP and its components. Changes may include:
(1) Products and services provided.
(2) Level of sustainment for each portfolio capability component.
(3) Targeted Agency capacity.
(4) Investments and divestments.
d. Coordinating and guiding policy and design and development efforts to facilitate value-added consistency and standardization across portfolio capability components and investments in systems, architectures, and technologies. Examples include equipment specifications, interface control, and personnel certifications.
e. Supporting decisional reviews for significant changes that exceed the thresholds or meet the criteria and constraints defined in the CPCA.
f. Representing the CP to Agency management and councils and effectively providing and presenting information that supports strategic decision making.
3.2.1.8 Providing Concurrence or Non-Concurrence
a. The CP manager shall concur or non-concur (and provide a written explanation for a non-concurrence):
(1) On investments, divestments, acquisition strategies, procurements, or agreements that seek to either build or develop new capabilities or improve or divest of existing capabilities, whether NASA or NASA investment in a non-NASA capability, that fall within the capability domain and thresholds defined in the CPMP. Various methodologies may be applied to adapt this policy to engagement points for CPM for ensuring consistency. These methodologies will be described in the CPCA and/or the CPMP. 7
(2) On acquisition strategies, procurements, or agreements to obtain products and services from external capabilities that fall within the capability domain and circumstances defined in the CPCA and CPMP. 8 This may be done at the individual strategy, procurement, or agreement level or at an integrated Center level on a periodic basis.
7 For example, for competed missions a statement may be inserted into applicable AOs covering the requirements of this policy.
8 Products and services from external capabilities that are procurement line items included in a product delivery are excluded, e.g., a spacecraft build and test delivery.
(3) On 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 CP capability components that fall within the thresholds defined in the CPMP. This may be done at the individual strategy, procurement, or agreement level or at an integrated Center level on a periodic basis.
(4) On significant changes to the CP baseline plan to commit the use of CP capability components that fall within the thresholds defined in the CPMP.
(5) On operational changes to a capability component within the CP that fall within the thresholds defined in the CPMP.
(6) On terminating plans for investments, divestments, and improvements that previously received CP manager concurrence.
b. The CP manager shall also evaluate and make recommendations for proposals to be provided to Agency leadership that involve changes to the capability domain and fall within thresholds defined in the CPMP.
c. The CP manager will also approve or disapprove alternate uses of CP capability components in accordance with the approach defined in the CPMP.
3.2.1.9 Sponsoring Mission Directorate Activities
In support of CPM, the sponsoring Mission Directorate shall:
a. In coordination with the CP manager, update funding model(s) as needed for each CP sponsored by their Mission Directorate.
b. Provide MDAA resources for the strategic and centralized management of each CP sponsored by their Mission Directorate and its components as defined in the CPCA and CPMP and ensure that resources are sized to meet the established goals and objectives.
c. Ensure sponsored CP capabilities are:
(1) Available to deliver products and services to the Agency in support of programs and projects.
(2) Consistent with NPD 1001.0.
(3) Functioning within established budget, schedule, and cost constraints.
3.2.1.10 Sponsoring and Participating Mission Directorate Activities
In support of CPM, sponsoring and participating Mission Directorates:
a. As an integral part of established timelines, review cycles, and decision-making processes, shall obtain concurrence from the CP manager:
(1) On investments, divestments, acquisition strategies, procurements, or agreements that seek to either build or develop new capabilities or improve or divest of existing capabilities, whether NASA or NASA investment in a non-NASA capability, that fall within the capability domain and thresholds defined in the CPMP.
(2) On acquisition strategies, procurements, or agreements to obtain products and services from external capabilities that fall within the capability domain and circumstances defined in the CPCA and CPMP.
(3) On operational changes to a capability component within the CP that fall within the thresholds defined in the CPMP.
b. Shall obtain and document the CP manager’s evaluation of and recommendations for proposals to be provided to Agency leadership that involve changes to the capability domain and fall within thresholds defined in the CPMP.
c. Will provide the MDAA’s near and long-term strategic requirements associated with planned programs and projects that involve the capability domain.
d. Will support CP assessments and analyses as specified in the CPMP. Examples include providing information to support development of assessments and analyses, such as demand baseline requirements, annual demand forecast analyses, and the CP Strategic Development Plan.
e. Will provide Mission Directorate funding in accordance with the funding model(s) defined, documented, and agreed upon in the CPCA and CPMP, once approved.
3.2.1.11 Center Director and JPL Lab Director Activities
In support of CPM, Center Directors and the JPL Lab Director:
a. As an integral part of the Center’s established timelines, review cycles, and decision-making processes, shall obtain concurrence from CP managers:
(1) On investments, divestments, acquisition strategies, procurements, or agreements that seek to either build or develop new capabilities or improve or divest of existing capabilities, whether NASA or NASA investment in a non-NASA capability, that fall within the capability domain and thresholds defined in the CPMP.
(2) On acquisition strategies, procurements, or agreements to obtain products and services from external capabilities that fall within the capability domain and the circumstances defined in the CPCA and the CPMP.
(3) When the Center proposes any significant changes to the CP baseline plan to commit the use of portfolio capability components that fall within the thresholds defined in the CPMP or, if a CP baseline plan is not used, prior to formalizing internal or external implementation agreements that commit the use of portfolio capability components that fall within the thresholds defined in the CPMP.
(4) On operational changes to a capability component within the CP that fall within the thresholds defined in the CPMP.
b. Shall obtain and document CP manager’s evaluation of and recommendations for proposals to be provided to Agency leadership that involve changes to the capability domain and fall within thresholds defined in the CPMP.
c. Shall obtain concurrence or non-concurrence from CP managers on the termination of plans for investments, divestments, and improvements that previously received CP manager concurrence.
d. Will manage, operate, and maintain the Center’s CP components and enabling infrastructure consistent with strategic guidance included in approved CPCAs and CPMPs that may include the funding level agreed upon by the CP manager for delivery of products and services to customers and approaches for adjusting the CORLs of portfolio capability components and their LoS.
e. Will obtain approval from the CP manager for alternate uses of portfolio capability components in accordance with the approach defined in the CPMP.
f. Will evaluate and assess all work related to the CP that operates at the Center. Work to be evaluated and assessed includes but is not limited to the following:
(1) Cost estimates for planned delivery of products and services.
(2) Technical, cost, and schedule performance metrics.
(3) The condition of portfolio capability components.
(4) Risks that have the potential to impact the CP and its constituent components.
(5) Planned improvements and investments.
(6) Planned divestments.
g. Will provide the Center evaluation and assessment findings and recommendations to the CP manager in support of CP manager, MSC, and MSC Chair reviews of the CP.
h. Will develop cost estimates for planned delivery of products and services in accordance with cost estimating processes and guidelines defined in the CPMP and CP baseline plan (if used).
i. Will provide Center resources in accordance with the funding model(s) defined, documented, and agreed upon in the approved CPCA and CPMP.
j. Will manage and implement investment projects at the Center that are intended to improve existing portfolio capability components or add new capability components to a CP. Oversee and manage projects and tasks assigned to the Center that affect the CP, improve portfolio capability components, develop new capability components for the CP, and divest of portfolio capability components.
k. Will provide Center-level reports, assessments, and data for portfolio capability components that reside at the Center to support CP assessments and analyses as specified in the CPMP. Examples include providing information to support development of assessments and analyses, such as demand baseline requirements, annual demand forecast analyses, and CP Strategic Development Plans.
l. Will support CP managers in defining operational norms between the CP manager, program and project managers (as appropriate), and Centers and in establishing the thresholds necessary to enable efficient operations of portfolio capability components at the Center. (Operational norms and thresholds are documented in the CPCA and the CPMP.)
m. Will support CP managers in establishing the metrics for each portfolio capability component at the Center as defined in the CPMP.
3.2.1.12 Program and Project Manager Activities. 9
In support of CPM, program and project managers:
a. As an integral part of established timelines, review cycles, and decision-making processes, shall obtain concurrence from the CP manager:
(1) On investments, divestments, acquisition strategies, procurements, or agreements that seek to either build or develop new capabilities or improve or divest of existing capabilities or facilities, whether NASA or NASA investment in a non-NASA capability, that fall within the capability domain and thresholds defined in the CPMP.
(2) On acquisition strategies, procurements, or agreements to obtain products and services from external capabilities that fall within the capability domain and the circumstances defined in the CPCA and CPMP.
(3) When the program or project proposes any significant changes to the CP baseline plan to commit the use of portfolio capability components that fall within the thresholds defined in the CPMP or, if a CP baseline plan is not used, prior to formalizing internal or external implementation agreements that commit the use of portfolio capability components that fall within the thresholds defined in the CPMP.
(4) On operational changes to a capability component within the CP that fall within the thresholds defined in the CPMP.
b. Shall obtain concurrence or non-concurrence from the CP manager on the termination of plans for investments, divestments, and improvements that previously received CP manager concurrence.
c. Shall obtain and document CP leadership’s evaluation of proposals to be provided to Agency leadership that involve changes to the capability domain and fall within thresholds defined in the CPMP.
d. Will support CP assessments and analyses as specified in the CPMP. Examples include providing information to support development of assessments and analyses, such as demand baseline requirements, capability investments and divestments, and annual demand forecast analyses.
e. Will support CP managers in defining operational norms between the CP manager, program and project managers (as appropriate), and Centers and in establishing the thresholds necessary to enable efficient operations of portfolio capability components at the Center. (Operational norms and thresholds are documented in the CPCA and CPMP.)
3.2.1.13 OCIO Activities
In support of CPM, the OCIO shall:
a. As the ITC Chair and Decision Authority, review and approve CP investments and divestments in information technology capabilities that are governed under NPD 2800.1 and NPD 2810.1.
b. Support CP assessments and analyses as specified in the CPMP for CPs that are determined by the MSC to be inherently information technology.
3.2.1.14 Chief Financial Officer Activities
In support of CPM, the Chief Financial Officer shall work with the Office of the General Counsel to support Mission Directorates and CP managers in updating and validating CP funding model(s) as needed.
3.2.2 Develop the Capability Portfolio Management Plan
3.2.2.1 The CPMP is an agreement between the sponsoring MDAA and the CP manager that details how the CP will be managed. It is used by the DPMC and the MSC to determine if the CP is fulfilling its requirements. The CPMP is developed and approved as shown in Table 3-2 within the timeframe specified in the CPCA. Prior to approval of the CPMP, the CP manager coordinates with the sponsoring MDAA, any participating MDAAs, and any Center Directors and the JPL Lab Director that have portfolio capability components that reside at the Centers to ensure their concurrence. Once approved, the CP and its capability components are strategically and centrally managed as described in the CPMP.
Table 3-2 Approval for CPMP
| MSC Chair | Informed |
| Sponsoring MDAA | Approves |
| Participating MDAAs | Concur |
| CP manager | Recommends |
| Center Directors and the JPL Lab Director with CP capability components | Concur |
| Center Directors and the JPL Lab Director without CP capability components | Informed |
| Chief Information Officer (when the MSC has determined that the CP is inherently information technology) | Concurs |
| Note: Non-concurrences that cannot be resolved at the CP manager level are elevated to the sponsoring MDAA level. Non-concurrences that cannot be resolved at the sponsoring MDAA level are elevated to the MSC Chair. | |
3.2.2.2 The CP manager shall develop a CPMP. The CPMP documents the results of the Strategic Management activities and includes, but is not limited to, the following: (Required CPMP content is indicated.)
a. Goals and objectives. (Required)
b. Customers, beneficiaries, and stakeholders. (Required)
c. Authority, governance, and management structure. (Required)
d. Capability domain, CP scope, and products and services. (Required)
e. Scheme for classification and decomposition of the portfolio.
f. Operational norms between the CP manager, Centers and the JPL Lab Director, and programs and projects. (Required) Examples include:
(1) Thresholds necessary to enable effective strategic and centralized management of the CP and enable efficient operations of portfolio capability components.
(2) Processes, engagement points, and methodologies for obtaining CP manager concurrence and for appealing non-concurrence decisions.
(3) Approach for resolution of disagreements.
g. Internal and external relationships. (Required)
h. Schedule. (Required)
i. Process for annual budget development. (Required)
j. Annual cost for operations and sustainment of the CP. (Required)
k. Funding model(s). (Required)
l. Approach for securing the appropriate level of funding. (Required)
m. Customer charging methodologies. (Required)
n. Sourcing strategy and approach for making sourcing decisions. (Required)
o. Performance measurement. (Required)
p. Approach and timeframe for developing the CP Strategic Development Plan. (Required)
q. Plans for data management and risk management. (Required)
r. Planned reviews. (Required)
3.2.2.3 The CPMP may take the form shown in the template provided in Appendix D or any other form as appropriate for the type, size, and complexity of the CP.
3.2.2.4 Center Directors and the JPL Lab Director who host CP capability components at their Centers and participating MDAAs shall concur or non-concur on the CPMP. A written explanation for a non-concurrence should be provided.
3.2.2.5 The sponsoring MDAA shall approve or disapprove the CPMP and provide rationale.
3.2.2.6 The CP manager shall revalidate or update the CPMP every five years. Updates may occur more frequently if there are significant changes as defined in the CPCA and as determined by the CP manager or sponsoring MDAA. The updated CPMP is reviewed and approved using the same process as the original.
3.2.2.7 The CP manager will ensure that the CPCA and CPMP are consistent in terms of content. If changes are required, the approval process for the applicable document(s) is followed.
3.2.3 Conduct Reviews
3.2.3.1 Decisional Reviews
a. Approval for Significant Changes to a Capability Portfolio
The MSC Chair shall conduct a decisional review when significant changes occur to a CP. Significant is defined in the CPCA and can include changes in the composition, management, or funding of the CP. The decisional review is held at the MSC.
(1) The CP manager, in coordination with the sponsoring Mission Directorate, will provide the materials needed to support the decisional review as described in Section 2.5.1. In addition to the materials described in Section 2.5.1, a description of the proposed change is provided. Changes may include changes to the management strategy, scope, total annual cost estimate, funding model(s), sourcing strategy, and the approach for making sourcing decisions for the CP. Examples of changes to scope include significant enhancements to existing portfolio capability components, addition of new capability components to the CP, and divestment of portfolio capability components.
(2) The CP manager will prepare a revised CPCA and CPMP to reflect the proposed change and will coordinate with affected stakeholders.
(3) As part of the decisional review, the MSC Chair will ensure that the change to the CP is aligned with the Agency’s vision and mission as defined in NPD 1001.0.
(4) The decision is documented in retrievable MSC documentation. The documentation should include the authorization to implement the change, any other decisions made, and any actions assigned. If no changes to the revised CPCA and CPMP are required following the decisional review, the approving authorities sign the revised documents. If changes are required, the revised CPCA and CPMP are updated, all signatures are obtained, and the documents are resubmitted to the approving authorities for final signature.
b. Approval to Terminate a Capability Portfolio
If a need arises to terminate a CP, the MSC Chair shall conduct a decisional review to terminate the CP. The decisional review is held at the MSC.
(1) The CP manager, in coordination with the Mission Directorate, will provide the materials needed to support the decisional review as described in Section 2.5.1. In addition to the materials described in Section 2.5.1, these materials may include the rationale for Termination of the CP; the impact of Termination on the Agency or Mission Directorate; an estimate of the total cost of Termination; and a Termination strategy and close out plan, including reassignment of the CP’s assets and capability components.
(2) As part of the decisional review, the MSC Chair will ensure that the Termination of the CP is aligned with the Agency’s vision and mission as defined in NPD 1001.0.
(3) The Termination decision is documented in retrievable MSC documentation. The documentation should include the authorization to terminate the CP, any other decisions made, and any actions assigned.
3.2.3.2 Capability Portfolio Reviews
a. The sponsoring MDAA and the CP manager shall lead or support the CP reviews identified in the CPCA and CPMP and other reviews required by this NPR.
b. The CPMP includes the scope of planned CP reviews, the approach to conducting the reviews, the frequency and timeline for the reviews, the criteria (e.g., technical, cost, performance) that will be used in the reviews, and the review team(s) structure.
c. The CP manager will select review team members for internal reviews and coordinate selection of review team members with the MDAA for stakeholder reviews and external reviews.
d. The CP manager will ensure that planned reviews are accomplished in accordance with the CPMP and that results are adjudicated in a timely manner.
3.2.3.3 Other Reviews
The CP manager will support reviews of the CP as part of other Agency and Directorate reviews, such as the annual MSC CPM Annual Review and the Agency BPR where CPs report performance in the larger context of their sponsoring Mission Directorate.
3.3.1 If a need arises to terminate a CP, the CP manager, in consultation with stakeholders including Center Directors and the JPL Lab Director, the CIO, and participating MDAAs, will recommend Termination of the CP to the sponsoring MDAA. The sponsoring MDAA makes the recommendation to terminate the CP to the MSC Chair.
3.3.2 The CP manager shall conduct Termination activities when approved by the MSC Chair. These include the following:
a. Developing a Termination strategy and plan.
b. Dissolving the CPM structure and closing out all activities associated with the strategic and central management of the CP.
c. Strategically decoupling the CP’s capability components.
d. Reassigning the CP’s capability components, enabling infrastructure, and any other CP assets to Center management in accordance with the Termination strategy.
3.3.3 The CP manager will develop a final CP report documenting results of the portfolio, such as performance relative to goals, technologies developed, lessons learned, and recommendations from the Termination review. The final report is captured as part of the MSC retrievable records and is managed in accordance with retrievable records. (See NPR 1441.1.)
| TOC | Preface | Chapter1 | Chapter2 | Chapter3 | Chapter4 | Chapter5 | AppendixA | AppendixB | AppendixC | AppendixD | AppendixE | AppendixF | AppendixG | ALL | |
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