NAII 2810.3
OCIO
Performance Management NASA Advisory
Implementing Instructions
Configuration Control Number: EPMO-2022-00000
Approval Authority:
_(see Interim Decision Memo at link below for approval)________ ____________________________________
Performance Management Perf Policy_ IDM_612022.pdf (nasa.gov)
Jeffrey Seaton, Chief Information Officer Date
Office of the Chief Information Officer
Document Revision Log
Revision
Date
Description
Authors/Editors
1.0
7/12/2022
First Publication
Shackelford
NAII 2810.3
NASA OCIO Performance Management
Responsible Office: NASA OCIO Enterprise Project
Management Office
NAII
Effective Date: July 12, 2022
Expiration Date: July 12, 2023
NAII nnnn - TOC
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Table of Contents
Change Log
Preface
P.1 Purpose
P.2 Applicability
P.3 Authorities
P.4 Applicable documents and forms
P.5 Measurement Verification
P.6 Cancellation
Chapter 1. Introduction
1.1 Background
1.2 Performance Management Evaluation
Chapter 2. Performance Management Roles and
Responsibilities
Chapter 3. Requirements Common to all OCIO
Orgnizations
Chapter 4. Enterprise Program/Project Management
Office Requirements
Chapter 5. Strategy & Architecture Office Requirements
f
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Chapter 6. Service Management Office Requirements
Chapter 7. Application and Platform Service Line
Requirements
Appendix A. Definitions
Appendix B. Acronyms
Appendix C. References
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Chg.#
Approver
Date
Approved
Description/Comments
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Preface
P.1 Purpose
a. This document establishes the requirements by which OCIO executes the
performance management policy for the OCIO portfolio as prescribed in the NPD
2800.1 and consistent with NPD 1000.3.
b. This policy implements standard goal setting and performance management
practices across the OCIO portfolio using the Objectives and Key Results (OKR)
method and Balanced Scorecard Framework.
NASA OCIO Performance Management Policy requires that:
All OCIO organizations shall implement and adopt OKRs and Balanced Scorecards for
aligning to OCIO’s strategic goals.
All OCIO organizations shall continuously evaluate and communicate their overall
health and performance using the approved performance management framework
(Balanced Scorecard, OKRs and KPIs).
All OCIO organizations shall utilize performance results to informed decision making
and modify Configuration Items (CI) as needed.
P.2 Applicability
a. This NASA Advisory Implementation Instruction (NAII) is applicable to NASA
Headquarters and NASA Centers, including Component Facilities and Technical and
Service Support Centers.. This NAII applies to the Jet Propulsion Laboratory (JPL), a
Federally Funded Research and Development Center (FFRDC), other contractors,
grant recipients, cooperative agreements or other agreements only to the extent
specified or referenced in the applicable contracts, grants, or agreements.
b. This NAII is applicable to all NASA OCIO employees. The requirements of this
NAII are considered to be the minimum requirements for all OCIO organizations (i.e.,
agency level offices, service lines, and center OCIOs). However more stringent
requirements can be added for specific organizations.
c. In this directive, all mandatory actions (i.e., requirements) are denoted by
statements containing the term "shall." The terms: "may" or "can" denote
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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.
d. In this directive, all document citations are assumed to be the latest version unless
otherwise noted.
P.3 Authorities
a. NPD 2800.1, Managing Information and Technology.
b. NPD 7120.4, NASA Engineering and Program/Project Management Policy.
c. NPR 7120.7A NASA Information Technology Program and Project Management
Requirements.
P.4 Applicable documents and forms
a. NPD 1001.0C, NASA Strategic Plan.
b. NASA Information Technology Strategic Plan.
P.5 Measurement Verification
a. The NASA Chief Information Officer (CIO) - Decision Authority (DA) verifies
compliance with this NAII via internal and external controls consistent with processes
defined in NPD 1200.1, NASA Internal Control. Internal and external controls include
surveys, audits, reporting requirements, and reviews conducted in accordance with NPD
1210.2, NASA Surveys, Audits, and Reviews Policy.
b. Outcomes and performance measures related to the implementation of this policy are
outlined in documents such as NPD 1001.0 and the NASA IT Strategic Plan, as well as in
IT-related metrics in NASA's Annual Performance Plan and Federal cross-agency
initiatives. Verification occurs through the NASA CIO's performance monitoring and the
Agency's Baseline Performance Review (BPR). Results are reported through NASA's
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annual strategic review, NASA's annual Volume of Integrated Performance, the Agency's
annual statement of assurance process, FISMA reporting, and reporting as directed by
Office of Management and Budget (OMB).
c. In order to determine if OCIO organizations follow the required processes specified in
this NAII, OCIO monitors the reporting and processing of Balanced Scorecards, OKRs
and KPIs to ensure that all process steps and requirements are completed correctly by all
of the process participants.
P.6 Cancellation
None
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Chapter1
Chapter 1. Introduction
1.1 Background
a. The NASA CIO provides leadership, planning, policy direction, and oversight for the
management of all NASA IT in accordance with public law including: 40 U.S.C. §
11101 and § 11103, Clinger-Cohen Act, 44 U.S.C. § 3541, Federal Information
Technology Acquisition Reform Act (FITARA), 44 U.S.C. 3601 et seq., E-Government
Act, and 44 U.S.C. § 11319, et seq, the Federal Information Security Modernization Act
of 2014 (FISMA). As such, the NASA CIO is the principal advisor to the NASA
Administrator and other senior officials on matters pertaining to NASA’s information and
information systems, Enterprise Architecture (EA), cybersecurity, records management,
and privacy.
b. The NASA CIO manages NASA’s information and information systems as a joint
responsibility with the NASA Centers, mission directorates, and institutional offices. The
NASA CIO directs, manages, and provides policy guidance and oversight of all NASA
IT activities and operations.
1.2 Performance Management Evaluation
a. The performance of OCIO organizations is continually evaluated throughout the NASA
IT life-cycle phases. Evaluation includes the continual, independent (i.e., outside the
advocacy chain of the organization) assessment and measurement of overall performance
to ensure planning and execution is aligned with approved plans.
b. Evaluation will be compliant with Office of Management and Budget (OMB) guidance.
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Chapter2
Chapter 2. Performance Management Roles and
Responsibilities
a. The roles and responsibilities for managing IT are defined in NPD 2800.1, Managing
Information Technology, and NPR 2800.1, Managing Information Technology.
b. All OCIO organizations shall implement and adopt OKRs and Balanced Scorecards for
aligning to OCIO’s strategic goals.
c. All OCIO organizations shall continuously evaluate and communicate their overall
health and performance using approved performance management framework (Balanced
Scorecard, OKRs and KPIs).
d. All OCIO organizations shall utilize performance results to make informed decisions
and modify Configuration Items (CIs) as needed.
e. All Agency Level Office Chiefs, Service Line Directors and Center CIOs are responsible
for implementing their respective requirements stated in this NAII.
Chapter3
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Chapter 3. Requirements Common to all OCIO
Organizations
All Agency Level Office Chief, Service Lines Office Chiefs and Center OCIOs shall:
a. Implement and align Balance Scorecards, OKRs and KPIs with performance
management policies and processes
b. Ensure performance management efforts are aligned with Agency level OKRs
c. Monitor performance and maintain performance management configuration items
(CIs)
d. Provide performance reporting to internal/external stakeholders
Chapter4
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Chapter 4. Enterprise Program/Project Management
Office (EPMO) Requirements
The EPMO Office Chief hall:
a. Develop/Implement/Maintain performance management policies and processes
b. Charter and lead the Performance Management Working Group (PMWG)
c. Develop/Maintain and lead training for performance management Balance
Scorecards, OKRs, and KPIs
Chapter5
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Chapter 5. Strategy & Architecture Office (SAO)
Requirements
The SAO Office Chief Shall:
a. Develop/Maintain OCIO-level OKRs tied to measure performance associated with
goals/objectives in IT Strategic Plan
b. Implement Balanced Scorecard at OCIO-level to monitor and evaluate performance
c. Integrate performance management data into strategy management (i.e., Balanced
Scorecard)
Chapter 6
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Chapter 6. Service Management Office (SMO)
Requirements
The SMO Office Chief shall:
a. Provide necessary guidance and validate OCIO organizations align with Information
Technology Infrastructure Library (ITIL) processes for performance management
b. Monitor and evaluate service lines performance for consistency with OKRs and
balanced scorecards
Chapter 7
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Chapter 7. Application and Platform Service Line
Requirements
The Application and Platform Service Line Office Chief shall:
a. Develop and implement performance management tools for use by the OCIO
organizations and to promote consistency.
Appendix A
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Appendix A. Definitions
Balanced Scorecard. A strategy performance management tool – a well-structured report,
that can be used by managers to keep track of the execution of activities by the staff within
their control and to monitor the consequences arising from these actions.
Configuration Items. Any service component, infrastructure element, or other item that
needs to be managed in order to ensure the successful delivery of services. Each Configuration
Item (CI) has several characteristics: A classification, or type, which indicates what kind of
item it is.
KPI. A type of performance measurement used to evaluate the success of an organization or
of a particular activity in which the organization engages.
OKRs. The Objectives and Key Results is a quantifiable measure of performance over time
for a specific objective.
Performance Management. A process of measuring progress (using Balanced Scorecard,
Objectives and Key Results across all organizations) against strategic objectives.
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Appendix B
Appendix B. Acronyms
BPR
Business Performance Review
CI
Configuration Item
CIO
Chief Information Officer
EPMO
Enterprise Project Management Office
FISMA
Federal Information Security Modernization Act
IT
Information Technology
ITIL
Information Technology Infrastructure Library
KPIs
Key Performance Indicators
NAII
NASA Advisory Implementing Instruction
NASA
National Aeronautics and Space Agency
NPD
NASA Policy Directive
NPR
NASA Procedural Requirements
OKRs
Objectives and Key Results
OMB
Office of Management and Budget
PMWG
Performance Management Working Group
SAO
Strategy and Architecture Office
SMO
Service Management Office
U.S.C.
United States Code
Appendix C
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Appendix C. References
a. Government Accountability Office (GAO) 18-148, Information Technology Reform:
Agencies Need to Improve Certification of Incremental Development.
b. Federal Information Processing Standards (FIPS) 199, Federal Information Processing
Standard for Security Categorization of Federal Information and Information Systems.
c. Office of Federal Procurement Policy (OFPP) Memorandum, Revisions to the Federal
Acquisition Certification for Program and Project Managers (FAC-P/PM), December 2013.
d. NPD 1000.0, NASA Governance and Strategic Management Handbook.
e. NPD 2800.1, Managing Information Technology.
f. NPD 7120.6, Knowledge Policy on Programs and Projects.
g. NPR 1400.1, NASA Directives and Charters Procedural Requirements.
h. NPR 2800.1, Managing Information Technology.
i. NPR 2841.1, Identity, Credential and Access Management.
j. NPR 7120.5, NASA Space Flight Program and Project Management Requirements.
k. NASA/SP-2014-3076, NASA Standing Review Board Handbook.
l. NPD 1000.0C 2018 NASA Strategic Plan.