# Presentation: 881547

## HQ Process Flow-down

**NASA ISO 9001 Agency Meeting**
**December 5, 2001**
**Marcietta Washington**
**NASA HQ**

- December 2, 2001

## HQ Journey to ISO 9001 Certification

**May 1999 – certified HQ Strategic Enterprise codes**
- Each Enterprise code had ~20 processes they identified to produce their “product”
- Generally addressed their strategic planning, budgeting, program formulation & evaluation, policy development, education & outreach, internal management
**May 2000 – expanded scope to include all Functional Offices**
- Each functional office had ~7 processes to fulfill their mission responsibilities as identified in NPG 1000.3 The NASA Organization
- Ensured by formal gap analysis conducted by our consultant
**Resulted in 215 processes producing the “products” of HQ**
- Processes documented in Office Work Instructions (OWIs)
- Identified the fundamental dependencies that existed between organizations in order to execute these processes
- HQ employees understand the processes within their areas
- OWIs contain personnel responsible for each task in a process

- December 2, 2001

## But...

**The HQ Quality System is suboptimized with the emphasis on achieving certification.**
**The HQ Quality System runs in parallel with the way business is done.**
**No real focus on the highest-level business of HQ, which is Strategic Enterprise and Agency management**

- December 2, 2001

## HQ ISO 9001:2000 Transition Philosophy

**Develop a new model for the HQ Quality System focusing on the HQ highest level products and the hierarchy of products as they flow down**
- Consistent with the ISO 9001:2000 requirements
**Highest level HQ products in Strategic Enterprise and Agency management have been identified as:**
**NASA Strategic Plan, including Enterprise Strategic Plans**
**Annual Performance Plan**
**Annual Budget**

- December 2, 2001

## C u s t o m e r

- Final
- August 13, 2001

**HQ Quality System Model**

**C**
**u**
**s**
**t**
**o**
**m**
**e**
**r**
**s**

**Quality System Manual**

**Budget Formulation**
**(Annual Budget)**

**Performance Assessment via**
-  Performance Report
-  Accountability Report
-  regulatory Agency reports
**Internal/External Quality Audits**

**NASA Organization**

**Management Responsibility**

**Resource Management**

**Measurement, Analysis,**
**and Improvement**

**Agency Management **(Product/Service Realization)

**Strategic Plans**
**Performance Plan**
**Annual Budget**

**Quality Management System**

_**Requirements from:**_
** ****Administration**
** ****Congress**
** ****Reimbursables**
_**Inputs from:**_
** ****Science & Education Communities**
** ****Commercial**
** ****Aerospace/ Nonaerospace Industry**
** ****Federal Agencies**

_***NASA Centers***_
***capability***

-  Funding
-  Direction

* **Inputs*
* **Feedback*

- S a t i s f a c t i o n

- December 2, 2001

## HQ Transition Activities

**Relatively little work needed due to the emphasis placed on each code documenting and controlling their mission critical processes during the initial certification**
- However, process flow-down from these highest level products to each organizations processes needed
- Identification of organizations that produces HQ products for HQ external customers (the Administration and the Congress)
- Performance measures identified by process owners of the HQ products

- December 2, 2001

## Office of the Chief Financial Officer(Code B)

**HQ Products**

**Mission Requirements per NPG 1000.3**

- Strategic
- Plan

- Performance
- Plan

- Budget

- Financial Management

- Resources Requirements

- Economic & Cost Analyses

- Annual Financial Statement

- Agency Budget Execution

- Comptroller General Interface

- Performance Plan and Report

- Financial Management Systems

- X

- B001
- Budget and Performance Plan Formulation

- Functional
- Leadership
- Plan

- B002
- Budget Execution

- B004
- Annual Accountability Report Process

- B005
- Agency Financial Management Policy Formulation

- B006
- Manage the Chief Financial Officer Council

- B003
- Performance Plan Update and Reporting

**XX**

- X

- X

- X

- X

- X

- X

- X

- X

- X

- X

- X

**XX**

**XX - HQ Product Owner **

**XX**

- B00?
- Agency Strategic Plan

**XX**

- December 2, 2001

## Office of Space Science (Code S)

**HQ Products**

**Mission Requirements per NPG 1000.3**

- Strategic
- Plan

-  Performance
- Plan

- Budget

- S001 Strategic Planning

- S002 Performance Planning

- S004 Code SB Processing of HATs
- Actions Issued to AA for Space Science

- S003 Performance Assessment

- S005 Program Plan Development

- S006 Develop/Update PCA
- S007 Program/Project Assessment

- S008 Launch Preparation Activities

- S009 Competing & Award Prime
- Contract for JPL Operations

- S010 Evaluating, Approving & Authoriz-
- ing Award fee on Prime Contract for JPL

- S014 Budget Formulation

- S015 Budget Justification

- Directs science
- research program
- management

- Directs advanced
- technology
- and mission studies

- Selects space
- science
- investigations

- Conducts strategic and international
- planning for the office of Space Science

- Directs program and project
- Formulation; oversight and
- Evaluation of NASA &
- Reimbursable task orders; JPL

- Enterprise Strategic Plan

- XX

- X

- X

- X

- X

- X

- X

- X

- X

- X

- X

- X

- X

- X

- X

**XX - HQ Product Owner **

- December 2, 2001

## Office of Space Science (Code S) cont’

**HQ Products**

**Mission Requirements per NPG 1000.3**

- Strategic
- Plan

-  Performance
- Plan

- Budget

- S017 Budget Implementation
- Cost Phasing Plan

- S018 NASA Research Announcement
- NRA for R&A investigations

- S020 JPL Direct Task Order Award

- S019 Announcement of opportunity for Science Flight Missions

- S021 JPL Reimbursable Task Order
- Award

- Directs science
- research program
- management

- Directs advanced
- technology
- and mission studies

- Selects space
- science
- investigations

- Directs program and project
- Formulation; oversight & evaluation
- of  NASA & reimbursable
- Operating task order; operating JPL

- Conducts strategic and international
- planning for the office of Space Science

- S016 Budget Implementation Operating
- Plan

- X

- X

- X

- X

- X

- X

- X

**XX - HQ Product Owner **

- December 2, 2001

## Office of Human Resources and Education (Code F)

**HQ Products**

**Mission Requirements per NPG 1000.3**

- F001
- Training Policy

- Strategic
- Plan

- Performance
- Plan

- Budget

- Workforce

- Skills &
- Competencies

- NASA
- Education
- Program

- R&PM

- Advocacy

- F002
- R&PM Budget
- Formulation

- F004
- Policy Formulation

- F005
- Education Budget
- Form, Adv., Exec

- F006
- NASA Educ. Program
- Contracts/Grants

- F007
- EDCATS Program Review

- F003
- R&PM Budget
- Execution

- X

- X

- X

- X

- X

- X

- X

- X

- X

- X

- X

- X

- X

- X

- X

- X

- X

- X

- Functional
- Leadership
- Plan

- X

- X

**XX - HQ Product Owner **

- December 2, 2001

## Strategic Planning Process Flow-down

**Preparation of Agency Strategic Plan**
**HOWI7020-B00?**

- HEDS Strategic
- Planning Process
- HOWI1000-**M001**

- Enterprise Strategic
- Planning Process
- HOWI7020-**R012**

- Strategic
- Planning
- HOWI7020-**S001**

- Strategic
- Planning Process
- HOWI1000-**U00?**

- Develop Enterprise
- Strategy
- HOWI1000-**Y001**

- December 2, 2001

## Budgeting and Performance Planning Process Flow-down

**Budget and *****Performance Plan***** Formulation**
**HOWI7410-B001**

- Budget
- Formulation
**HOWI7410-S014**

- Budget
- Formulation
**HOWI7410-U009**

- Code M Budget
- Formulation
**HOWI7410-M003**

- Agency R&PM
- Budget
- Formulation
**HOWI7410-F002**

- OSMA Budget
- Processes
**HOWI7410-Q030,**
**Q031 & Q032**

- Headquarters
- Budget
- Formulation
**HOWI7410-C005**

- Operational Budget
- Formulation and
- Approval
**HOWI7410-E002**

- Environmental
- Budget
- Formulation and
- Execution
**HOWI7410-J012**

- C of F Budget
- Formulation and
- Execution
**HOWI7410-J011**

- Enterprise/IPO
- Budget
- Formulation
**HOWI7410-R001**

- Formulate the
- ESE Budget
**HOWI7410-Y006**

*Performance*
*Planning*
**HOWI7040-S002**

- December 2, 2001

## Conclusions

**Process flow-down has been developed from the processes for the highest level HQ products down to the code level processes that support them**
- Only one layer deep at HQ, to date
- Each process identifies the responsible personnel for each task in the process
**The process owners are responsible for establishing customer feedback mechanisms and performance measures for the HQ products**
**All HQ codes must support these process owners and be able to demonstrate how their processes (including performance measures, as necessary) flow up to the HQ products**

- December 2, 2001