The NOAA Functional Model

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The NOAA Functional Model

• Paul N. Doremus
• Program Planning and Integration
• 06 February 2007

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Outline

• Purpose
• Decisional briefing on the NOAA Functional Model
• Issue
• Introduce questions being addressed and desired
  outcome
• Background Discussion
• The model and its potential applications
• Alternatives
• Status quo adopt the proposed Functional Model
• Coordination and Views
• Functional Model Working Group briefings to Line
  Offices, DUS, VADM, and NEP
• Output
• A common framework and lexicon for understanding
  the work of NOAA
• Recommendation
• Adopt the proposed Functional Model

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Purpose

• Decisional Briefing
• Receive NEC endorsement of the form and intended
  purposes of the Functional Model
• Criteria include
• Accuracy and comprehensiveness of the model as a
  high-level depiction of the work of NOAA
• Utility of the model for planning and
  communication

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Issue

• NOAA lacks a holistic description of its work
• What does NOAA produce?
• How does NOAA produce and provide its products?
• What are the major applications for NOAAs
  products?
• Desired outcome
• Approval and adoption of the proposed Functional
  Model
• Why bring this to the NEC?
• Requested by the NOAA Administrator and DUS
• Potential uses of the Functional Model require
  NOAA executive endorsement

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Background DiscussionFunctional Model Genesis

• FY 2008 Fiscal and Programming Guidance charged
  PPI to
• develop a high-level model that describes NOAA's
  enduring functions, how those functions
  interrelate, and how they could be affected by
  changing external conditions.  This model will
  enable more detailed function/structure analyses
  and assessments of alternative CONOPS.
• In order to develop a CONOPS, which is an
  apportionment of tasks among organizational
  elements that collectively accomplish the work of
  an organization, we must first define the work
  of an organization.
• Functional Model Working Group Dan Basta (NOS),
  Ed Johnson (NWS), Mary Kicza (NESDIS), Steve
  Murawski (NMFS), Rick Rosen (USEC), Avery Sen
  (PPI), Rodney Weiher (PPI).

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Background DiscussionFunctional Model Utility

• For the next generation Strategic Plan, it would
  account for the work of the organization, NOAAs
  inputs and outputs
• to match evolving capabilities with evolving
  needs,
• irrespective of preexisting organizational
  structure.
• For improved communication throughout PPBES, it
  would provide a common analytical framework and
  lexicon for both NOAA and the public

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Background DiscussionElements of a Functional
Model

• The functions are derived from statutory
  requirements drivers they comprehensively cover
  NOAAs mission
• The model maps a functional flow from inputs to
  outputs
• Functions to Manage Capital
• Four kinds of capital finance, infrastructure,
  workforce, organization
• Analogous to the functions of the Mission Support
  Sub-goals
• Functions to Produce Intermediaries
• Three kinds of production activities observe,
  research, and model
• Intermediate goods value-added contribution to
  final goods
• Functions to Provide Products
• Three kinds of outputs activities inform,
  advise, and manage
• Final goods consumed by external users start
  path to societal benefits

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Functions to Manage Capital
Control Budget Allocate Finances Appropriations,
Inter-Agency Transfers, Grants Contracts,
Reimbursables
Acquire, Build Maintain Infrastructure Observati
on Platforms (Satellites, Ships, Aircraft,
Buoys), Facilities, IT Communication Systems
Secure Deploy a Knowledgeable Workforce Manage
and Train Workforce, Transfer Knowledge
Expertise, Obtain External Data, Maintain Records
Libraries, Solicit Stakeholder Feedback
Structure Direct the Organization Manage
Organizational Structures, Spatial Locations,
Develop Professional Networks, Conduct Planning
and Programming
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Background DiscussionNOAAs Functions
Manage
Finances
Infrastructure
Workforce
The Organization
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Functions to Produce Intermediaries
Observe Environment Manage Data Make
Observations, Communicate Data, Process Data for
Use, Control Data Quality, Assimilate Data,
Archive Data
Research Environment Develop Analytic
Tools Engage Knowledge Networks, Document
Entities Processes, Pose Questions
Hypotheses, Articulate Relationships Causality,
Develop Analytic Tools
Model Environment Predict Changes Design
Assemble Models, Make Models Operational, Run
Models Operationally, Evaluate Improve Models
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Background DiscussionNOAAs Functions
Manage
Produce
Finances
Observations Data
Infrastructure
Models Predictions
Workforce
Research Development
The Organization
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Functions to Provide Products
Provide Environmental Data Information Observati
on Data and Assessments, Navigation Tools,
Predictions Projections, Warnings Advisories
Provide Environmental Knowledge
Expertise Scientific Discoveries Techniques,
Advice Leadership, Outreach, Education
Training
Manage Coastal Marine Ecosystems Protection,
Management and Restoration of Coastal Marine
Resources, Protected Species and Habitats
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Background DiscussionNOAAs Functions
Produce
Provide
Manage
Observations Data
Finances
Data Information
Infrastructure
Models Predictions
Expert Knowledge
Workforce
Research Development
Ecosystem Stewardship
The Organization
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Background DiscussionElements of a Functional
Model

• NOAAs functional model must also connect to the
  external applications for NOAA productse.g. to
  NOAAs mission goals
• Functions to Apply Products
• Prepare for and Respond to Events of Weather
  Water
• Protect, Restore and Sustainably Manage
  Ecosystems
• Prepare for and Respond to Variations in Climate
• Safe, Efficient, Environmentally Sound Commerce
  Transportation

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Functions to Apply Products
Prepare for and Respond to Events of Weather
Water
Protect, Restore and Sustainably Manage
Ecosystems
Prepare for and Respond to Variations in Climate
Maintain Safe, Efficient and Environmentally
Sound Commerce Transportation
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Background DiscussionNOAAs Functions
Produce
Provide
Apply
Manage
Observations Data
Weather-Water Preparation Response
Finances
Data Information
Climate Preparation Response
Infrastructure
Models Predictions
Expert Knowledge
Ecosystem Management Protection
Workforce
Research Development
Ecosystem Stewardship
Comm Tran Efficiency, Safety, Env Soundness
The Organization
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The NOAA Functional Model Shapes Represent
Functions. Arrows Represent Value-Added. Color
Functions are Internal. Grey Functions are
External.
Provide
Produce
Apply
Manage
Assess Products
Provide Capital
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Background DiscussionPotential Applications

• The Functional Model can be applied immediately
  to NOAA-wide planning and communication needs,
  such as
• Providing a functional framework for the NOAA
  Strategic Plan, Annual Guidance Memorandum, and
  Business Operations Manual
• Improving stakeholder understanding of and
  support for NOAAs work
• The Functional Model can help NOAA address
  additional challenges and opportunities, such as
• Describing and analyzing the functional
  requirements for major Goal objectives and
  strategies
• Deciding where NOAA may benefit most from
  developing cross-NOAA operational concepts
• Assessing structural options for NOAA Councils

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Alternatives

• Alternative 1 Status quo do not adopt the
  Functional Model
• Pro Avoid organizational effort required to
  adopt and communicate new descriptive language
  for the work of the organization
• Con No common analytic framework and lexicon for
  the agency
• Alternative 2 Adopt the proposed Functional
  Model
• Pro A common analytic framework and lexicon for
  the agency
• Con Requires organizational effort to adopt and
  communicate new descriptive language for the work
  of the organization

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Coordination Views

• The NOAA Administrator and Deputy Undersecretary
• Goal Team Leads
• Line Office coordination achieved through the
  Functional Model Working Group and executive
  briefings with
• NOS - NWS
• NMFS - OAR
• Approved by the NOAA Executive Panel

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Output

• The NOAA Functional Model will provide the agency
  with a common analytic framework and lexicon for
  understanding, planning, and communicating the
  work of NOAA
• The NOAA Functional Model can help NOAA address
  additional challenges and opportunities, such as
• Describing and analyzing the functional
  requirements for major Goal objectives and
  strategies
• Deciding where NOAA may benefit most from
  developing cross-NOAA operational concepts
• Assessing the appropriate structure for
  cross-cutting NOAA Councils

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Recommendation

• Alternative 2 Adopt the proposed Functional
  Model, given the models
• Accuracy and comprehensiveness as a high-level
  depiction of the work of NOAA
• Utility for planning and communication

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BACKUP SLIDES

• NOAAs Functions Complete detail, with
  connection to societal benefits
• Context Diagram
• Application illustration CONOPS considerations
• Application illustration Describing
  multidisciplinary, distributed product lines (HAB
  forecasts)

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Produce Environmental Observation Data Make
Observations, Com-municate Data, Process Data for
Use, Control Data Quality, Assimilate Data,
Archive Data
Provide Environmental Data Information Observati
on Data and Assessments, Navigation Tools,
Predictions Projections, Warnings Advisories.
Prepare for and Respond to Events of Weather
Water
Manage Finances Appropriations, Inter-Agency
Transfers, Grants Contracts, Reimbursables.
Reduced loss of life, injury, and damage to the
economy
Healthy and productive oceans coasts
Manage Infrastructure Observation Platforms
(Satellites, Ships, Aircraft, Buoys), Facilities,
IT Communication Systems.
Protect, Restore and Sustainably Manage
Ecosystems
Manage
Produce
Provide
Benefit
Apply
Produce Environmental Research Analytic
Tools Engage Knowledge Net-works, Document
Entities Processes, Pose Questions
Hypotheses, Articulate Relationships Causality,
Develop Analytic Tools
Provide Environmental Knowledge
Expertise Scientific Discoveries Techniques,
Advice Leadership, Outreach, Education
Training.
Innovative and efficient commerce
Manage Workforce Obtain, Train, Enable
Workforce, Transfer Knowledge Expertise,
Maintain Records Libraries, Information
Knowledge from External sources.
Prepare for and Respond to Variations in Climate
Provide Coastal Marine Ecosystem Management Pr
otection, Management and Restoration of Coastal
Marine Resources, Protected Species and
Habitats.
Improved human health, security, and quality of
life
Produce Environmental Models Predictions Design
Assemble Models, Make Models Operational, Run
Models Operationally, Evaluate Improve Models
Maintain Safe, Efficient and Environmentally
Sound Commerce Transportation
Manage the Organization Manage Organizational
Structures, PPBES, Inter- and Intra-agency
Coordination and Integration, Develop
Professional Networks.
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Context Diagram

• Specifying the work of the organization first
  requires specifying the organization as a whole
  in the context of other organizations.
• A context diagram treats NOAA as a black box,
  with
• Capital Assets finance, infrastructure,
  intellectual, and organizational
• Products data information, knowledge
  expertise, ecosystem management
• A context Diagram positions NOAA relative to
• The public, Congress, and its Congressional
  appropriation
• OMB and the Department of Commerce
• Sister agencies in the federal government
• Partners and customers in public, private and
  academic sectors

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OMB
DoC
EPA
DoI
DHS
DoD
DoA
DoE
HHS
NOAA
NASA
Colleges, Univer-sities Institutes
State Local Auth-orities
Private Industry Enter-prise
Inter-national Com-munity
NSF
Congress
The Public
finance
infrastr.
intell.
exp. know.
eco. mgmt.
data info.
inputs
outputs
org.
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Application Illustration CONOPS Considerations

• Moving across the value chain highlights
  different types of integration challenges and
  opportunities
• From capital to intermediaries
• Optimize allocate resources to enable
  production and provision
• From intermediaries to final products
• Assemble employ capital resources to create
  products
• From products to applications
• Design deliver products to meet customer
  requirements

Weather-Water Preparation Response
Climate Preparation Response
CONOPS Development should be prioritized where
integration challenges and rewards are greatest,
where there has yet to be any systematic
evaluation Product Provision and Application.
Ecosystem Management Protection
Data Info
Exp Know
Eco Stew
Comm Tran Efficiency, Safety, Env Soundness
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Application Illustration CONOPS Considerations

• Development of an Output-Application CONOPS
  requires a basic taxonomy of NOAAs products.
• We can assess each product type with respect to
  integration challenges and opportunities.
  Criteria include
• Customer base that is large, diverse and evolving
• Partner base that is large, diverse and evolving
• Demand for product that is highly dynamic
• Technological capabilities that are highly
  dynamic
• These Criteria are best met in the Function to
• Provide Environmental Data Information

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Data on Environmental Conditions
Observations
Assessments of Environmental Conditions
Data Info.
Navigation Tools
Weather Forecasts
Predictions Projections
Hydrology Forecasts
Climate Predictions Projections
Public Warnings Advisories
Ecosystems Forecasts
Weather Water Hazard Information
Ecosystem Hazard Information
Climate Hazard Information
Discoveries Techniques
Exp. Know.
Technical Methodologies
Scientific Technical Findings
Advice Leadership
International Advice Leadership
Federal Government Advice Leadership
Outreach, Education Training
State, Local Tribal Advice Leadership
Training on NOAA Products
Educational Services
Media Services
Protection of Ecosystems
Eco. Stew.
Protection of Geographic Areas
Management of Ecosystem Use
Protection of Threatened/Endangered Species
Regulation of Fisheries
Resource Direction for State Management
Restoration of Threatened Ecosystems
Recovery of Habitat
Hazmat Response
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Data on Environmental Conditions
Observations
Assessments of Environmental Conditions
Data Info.
Navigation Tools
Weather Forecasts
Predictions Projections
Hydrology Forecasts
Climate Predictions Projections
Public Warnings Advisories
Ecosystems Forecasts
Weather Water Hazard Information
Ecosystem Hazard Information
Climate Hazard Information
Discoveries Techniques
Exp. Know.
Technical Methodologies
Scientific Technical Findings
Advice Leadership
International Advice Leadership
Federal Government Advice Leadership
Outreach, Education Training
State, Local Tribal Advice Leadership
Training on NOAA Products
Educational Services
Media Services
Protection of Ecosystems
Eco. Stew.
Protection of Geographic Areas
Management of Ecosystem Use
Protection of Threatened/Endangered Species
Regulation of Fisheries
Resource Direction for State Management
Restoration of Threatened Ecosystems
Recovery of Habitat
Hazmat Response
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Example HAB ForecastsProgrammatic Perspective
Coasts Estuaries Oceans Program Buoy winds
Environmental Modeling Program Operate the
forecast 8/5. Use procedures described by ERP
NCCOS Use software developed by CEO/CMR CSC
to generate the forecast product Develop
advection models for future versions of the
forecast
Ecosystem Research Program Turn data and
scientific understanding into a forecast Train
future operators Make forecast applicable to new
regions
operating procedures
data
forecasts
operator training
Science, Technology Infusion Program Satellite
chlorophyll
customer feedback
images
customer feedback
models
data
customer
forecast needs
external gridded winds
data
customer feedback (this is/isnt what we need)
forecast needs
software
data for testing
external Surface stress
Coasts Estuaries Oceans Program Coastal
Marine Resources Program Develop software to
make GIS-based decision support tool the
forecast product- so our users can overlay
their data on our forecasts Develop education
and outreach to make users aware and proficient
advertise- ment of forecasts
external In situ hab Cell counts
how to use our forecasts
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Example HAB ForecastsFunctional Perspective
Observe Environment Manage Data Observe,
Process, Assimilate, Archive, Communicate wind,
chlorophyll data.
Provide Environmental Data Information Use
software developed by CEO/CMR-CSC to generate the
forecast product
Manage Financial Capital Direct Reimbursable
Allotments
Manage Infrastructural Capital Buoys, Satellites,
Labs, Offices
Research Environment Develop Analytic
Tools Develop Advection models for future
versions of the forecast, software to make
GIS-based decision support tool.
Provide Environmental Knowledge
Expertise Develop education and outreach to make
users aware and proficient
Manage Intellectual Capital Obtain data on
gridded winds, surface stress, in situ HAB cell
counts train future model operators get
stakeholder feedback.
Model Environment Predict Changes Turn data and
scientific understanding into a forecast Make
forecast applicable to new regions Operate the
forecast 8/5.
Manage Coastal Marine Ecosystems None.
Manage Organizational Capital Organizational
Structures, Professional Networks, Geospatial
Locations
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