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OFFICE OF THE CHIEF FINANCIAL OFFICER

Office Work Instruction

**REVISED FINAL PERFORMANCE PLAN & ANNUAL PERFORMANCE REPORT**

Approved by:

Stephen J. Varholy

Deputy Chief Financial Officer

# DOCUMENT HISTORY LOG

+---------+--------+--------+-----------------------------------------+
| Status  | Do     | Eff    | Description                             |
|         | cument | ective |                                         |
| (Ba     |        |        |                                         |
| seline/ | Re     | Date   |                                         |
|         | vision |        |                                         |
| Re      |        |        |                                         |
| vision/ |        |        |                                         |
|         |        |        |                                         |
| Ca      |        |        |                                         |
| nceled) |        |        |                                         |
+---------+--------+--------+-----------------------------------------+
| B       |        | 1/7/00 |                                         |
| aseline |        |        |                                         |
+---------+--------+--------+-----------------------------------------+
| R       | A      | 2/8/02 | Refinement provides the additional      |
| evision |        |        | clarification needed to more accurately |
|         |        |        | reflect the process as it happens.      |
|         |        |        | Refinements include: (1) Title clearly  |
|         |        |        | identifies the Revised Final            |
|         |        |        | Performance Plan and Annual Performance |
|         |        |        | Report OWI vs. Performance Plan Update  |
|         |        |        | and Reporting; (2) Purpose reflects     |
|         |        |        | preparation of the revised final        |
|         |        |        | performance plan and the annual         |
|         |        |        | performance report to remove            |
|         |        |        | duplication of the monitoring and       |
|         |        |        | performance reviewing from this OWI     |
|         |        |        | including the deletion of Appendix A    |
|         |        |        | and two (2) Quality Records from        |
|         |        |        | Section 7.0 and subsequent retention of |
|         |        |        | the monitoring and reviewing            |
|         |        |        | responsibility at its current location  |
|         |        |        | for "Monitor and Review" in HQOWI       |
|         |        |        | 7410-B002, Budget Execution; (3) Scope  |
|         |        |        | & Applicability were made clearer; (4)  |
|         |        |        | Definitions clearly identifies          |
|         |        |        | Enterprises as Enterprise Associate     |
|         |        |        | Administrators (EAAs) and FSO as        |
|         |        |        | Crosscut Stewards; (5) Reference adds   |
|         |        |        | the Reports Consolidation Act of 2000   |
|         |        |        | as input to the data call for the       |
|         |        |        | annual performance report and makes     |
|         |        |        | reference to other items more generic;  |
|         |        |        | (6) the process flows and procedures in |
|         |        |        | sections 5.0 and 6.0, respectively,     |
|         |        |        | provide additional clarity to reflect   |
|         |        |        | the process as it really happens; and   |
|         |        |        | (7) renamed 2 Quality Records for more  |
|         |        |        | clearer record identification.          |
+---------+--------+--------+-----------------------------------------+
|         |        |        |                                         |
+---------+--------+--------+-----------------------------------------+
|         |        |        |                                         |
+---------+--------+--------+-----------------------------------------+
|         |        |        |                                         |
+---------+--------+--------+-----------------------------------------+
|         |        |        |                                         |
+---------+--------+--------+-----------------------------------------+
|         |        |        |                                         |
+---------+--------+--------+-----------------------------------------+
|         |        |        |                                         |
+---------+--------+--------+-----------------------------------------+
|         |        |        |                                         |
+---------+--------+--------+-----------------------------------------+
|         |        |        |                                         |
+---------+--------+--------+-----------------------------------------+
|         |        |        |                                         |
+---------+--------+--------+-----------------------------------------+

**1.0** **Purpose:** Document the process for preparing the Agency's
revised final annual performance plan and the Agency's annual
performance report to account for the performance of NASA programs in
compliance with the Government Performance and Results Act.

**2.0 Scope and Applicability**

> **2.1** SCOPE: Includes (1) the preparation of a revised final annual
> performance plan and 2) preparation and approval of the annual
> performance report.
>
> **2.2** APPLICABILITY: This OWI is maintained by the Office of the
> Chief Financial Officer. This OWI covers the procedures performed
> within this office to coordinate, integrate and report performance
> within the GPRA process.

**3.0 Definitions**

  ------------------- ---------------------------------------------------
  CFO:                Chief Financial Officer

  GPRA:               Government Performance and Results Act

  NAC:                NASA Advisory Council

  NASA Program:       All activities and functions performed by the
                      agency

  EAAs:               Enterprise Associate Administrators

  Crosscut Stewards:  Crosscutting Process Management Major Four
                      Activities: Manage Strategically; Provide Aerospace
                      Products and Capabilities; Generate Knowledge, and
                      Communicate Knowledge.
  ------------------- ---------------------------------------------------

**4.0 Reference**

> Annual Departments of Veterans Affairs and Housing and Urban
> Development, and Independent Agencies Appropriations Act
>
> Government Performance and Results Act
>
> OMB Circular A-11, Part 2
>
> Reports Consolidation Act of 2000
>
> NASA Strategic Plan
>
> NASA Annual Performance Plan
>
> NASA Strategic Management Handbook

**5.0 FLOWCHART**

![](media/image2.wmf)

![](media/image3.wmf)

**6.0 Procedure**

+----+---------------+------------------------------------------------+
| ## | ##            | ## **Action**                                  |
|  * |  **Actionee** |                                                |
| *S |               |                                                |
| te |               |                                                |
| p* |               |                                                |
| *  |               |                                                |
+----+---------------+------------------------------------------------+
|    |               | ###                                            |
+----+---------------+------------------------------------------------+
|    |               | ### REVISED FINAL PERFORMANCE PLAN             |
+----+---------------+------------------------------------------------+
| 6  | Congress      | The Agency's revised final performance plan    |
| .0 |               | starts with the receipt of the Appropriations. |
+----+---------------+------------------------------------------------+
| 6  | CFO           | Issue data call to Enterprise Associate        |
| .1 |               | Administrators (EAAs) and Crosscut Stewards    |
|    |               | requesting metric change requests.             |
+----+---------------+------------------------------------------------+
| 6  | BR Analysts   | Evaluate metric change requests that are in    |
| .2 |               | accordance with criteria established by OMB    |
|    |               | Circular A-11 as well as significant           |
|    |               | programmatic changes that have occurred since  |
|    |               | the submission of the budget. Provide a        |
|    |               | recommendation to the Director, BR regarding a |
|    |               | revision of the Agency's performance plan.     |
+----+---------------+------------------------------------------------+
| 6  | Director, BR  | Approve metric changes and recommendations in  |
| .3 |               | Step 6.2 and brief the Comptroller on          |
|    |               | recommended update.                            |
+----+---------------+------------------------------------------------+
| 6  | Comptroller   | Approve/disapprove the Director, BR's          |
| .4 |               | recommendation to update the performance plan. |
|    |               | If yes, proceed to Step 6.5. If no, repeat     |
|    |               | Step 6.2.                                      |
+----+---------------+------------------------------------------------+
| 6  | BR Analyst    | Incorporate approved metric changes into a     |
| .5 |               | revised final performance plan based upon      |
|    |               | Steps 6.3 and 6.4.                             |
+----+---------------+------------------------------------------------+
| 6  | CFO           | Approve the revised final performance plan.    |
| .6 |               |                                                |
+----+---------------+------------------------------------------------+
| 6  | CFO           | Submit revised final performance plan to OMB.  |
| .7 |               |                                                |
+----+---------------+------------------------------------------------+
| 6  | OMB           | Does OMB clear? If yes, proceed to Step 6.10.  |
| .8 |               | If no, receive OMB comments for further action |
|    |               | by the NASA and proceed to Step 6.9.           |
+----+---------------+------------------------------------------------+
| 6  | BR Analysts   | Disposition of OMB comments is conducted in    |
| .9 |               | coordination with the EAA/Crosscut Steward.    |
|    |               | Repeat Steps 6.5, 6.6 and 6.7.                 |
+----+---------------+------------------------------------------------+
| 6. | CFO           | Receive OMB clearance and issue revised final  |
| 10 |               | performance plan. Monitoring and reviewing     |
|    |               | performance status are documented in HQOWI     |
|    |               | 7410-B002, Budget Execution.                   |
+----+---------------+------------------------------------------------+

+----+---------------+------------------------------------------------+
| ## | ##            | ## **Action**                                  |
|  * |  **Actionee** |                                                |
| *S |               |                                                |
| te |               |                                                |
| p* |               |                                                |
| *  |               |                                                |
+----+---------------+------------------------------------------------+
|    |               | **ANNUAL PERFORMANCE REPORT**                  |
+----+---------------+------------------------------------------------+
| 6  | CFO           | Issue data call to EAAs and Crosscut Stewards  |
| .1 |               | for annual performance data in accordance with |
|    |               | OMB Circular A-11 Part 2, Reports              |
|    |               | Consolidation Act of 2000, external review     |
|    |               | feedback (GAO, CRS, responses from Congress,   |
|    |               | NASA OIG)                                      |
+----+---------------+------------------------------------------------+
| 6  | BR Analyst    | Receive and integrate the EAA and Crosscut     |
| .2 |               | Process performance data into a performance    |
|    |               | report draft. Obtain performance assessment    |
|    |               | from the NASA Advisory Committee (NAC) and     |
|    |               | include their letter in the draft.             |
+----+---------------+------------------------------------------------+
| 6  | Director, BR  | Approve/disapprove the performance report      |
| .3 |               | draft? If yes, submit for concurrence by the   |
|    |               | NASA Comptroller concurrence. If no, BR        |
|    |               | Analyst incorporate changes required by        |
|    |               | Director, BR prior to proceeding to Step 6.4.  |
+----+---------------+------------------------------------------------+
| 6  | Comptroller   | Give concurrence/nonconcurrence with           |
| .4 |               | performance report draft? If yes, submits      |
|    |               | draft for final concurrence by the CFO for     |
|    |               | Agency review. If no, return draft to the BR   |
|    |               | Analyst to incorporate changes required for    |
|    |               | concurrence.                                   |
+----+---------------+------------------------------------------------+
| 6  | CFO           | Issue performance report draft for Agency      |
| .5 |               | review/concurrence.                            |
+----+---------------+------------------------------------------------+
| 6  | CFO           | Receive concurrence/non-concurrence.           |
| .6 |               |                                                |
+----+---------------+------------------------------------------------+
| 6  | BR Analyst    | Coordinate non-concurrence with the            |
| .7 |               | EAA/Crosscut Steward and proceed to Step 6.8.  |
+----+---------------+------------------------------------------------+
| 6  | Director,     | Submit report draft to OMB for concurrence.    |
| .8 | BR/CFO        |                                                |
+----+---------------+------------------------------------------------+
| 6  | OMB           | Does OMB clear? If yes, go to step 6.11. If    |
| .9 |               | no, receive OMB comments for further action by |
|    |               | NASA and proceed to Step 10.                   |
+----+---------------+------------------------------------------------+
| 6. | BR Analyst    | Disposition of OMB comments in coordination    |
| 10 |               | with the EAA, Crosscut Steward. (Repeat Steps  |
|    |               | 6.7 and 6.8)                                   |
+----+---------------+------------------------------------------------+
| 6. | CFO           | Receive OMB clearance and release the report   |
| 11 |               | to the President, Congress, and the Public.    |
+----+---------------+------------------------------------------------+

**7.0 Quality Records**

  ---------------- ------- ---------- ------------ ----------- -----------------------
  Record           Owner   Location   Record       Schedule    Retention/Disposition
  Identification                      Media:       Number and  
                                      Electronic   Item Number 
                                      or Hard Copy (NPG        
                                                   1441.1)     

  Data Call for    BR      8A Files   Hard Copy    Schedule 9, Destroy when
  Metric Change                                    item 2C     superseded, no longer
  Requests                                                     needed, or when 5 years
                                                               old, whichever is
                                                               sooner.

  Revised Final    BR      Code B     Hard Copy    Schedule 9, Permanent, transfer to
  Performance Plan         Library                 item 2      NARA when 35 years old

  Data Call for    BR      8A Files   Hard Copy    Schedule 9, Destroy when
  Performance Data                                 item 2C     superseded, no longer
                                                               needed, or when 5 years
                                                               old, whichever is
                                                               sooner.

  Annual           BR      Code B     Hard Copy    Schedule 9, Permanent, transfer to
  Performance              Library                 item 2      NARA when 35 years old
  Report                                                       
  ---------------- ------- ---------- ------------ ----------- -----------------------