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**OFFICE WORK INSTRUCTION**

**ADVOCATE THE ESE BUDGET**

**(Conforming to ISO 9001 Quality System Requirements)**

**DOCUMENT HISTORY LOG**

+---------+--------+--------+-----------------------------------------+
| Status  | Do     | Eff    | Description                             |
|         | cument | ective |                                         |
| (Ba     |        |        |                                         |
| seline/ | Re     | Date   |                                         |
|         | vision |        |                                         |
| Re      |        |        |                                         |
| vision/ |        |        |                                         |
|         |        |        |                                         |
| Ca      |        |        |                                         |
| nceled) |        |        |                                         |
+---------+--------+--------+-----------------------------------------+
| B       |        | 11     |                                         |
| aseline |        | /30/98 |                                         |
+---------+--------+--------+-----------------------------------------+
| R       | A      | 4      | Section 2.0: Added text to describe     |
| evision |        | /19/99 | budget procedures as ESE\'s method for  |
|         |        |        | ensuring customer requirements are      |
|         |        |        | understood and can be met.              |
|         |        |        |                                         |
|         |        |        | Section 4.0: Deleted references not     |
|         |        |        | called out in the procedure.            |
|         |        |        |                                         |
|         |        |        | Section 5.0, Flowchart; Section 6.0,    |
|         |        |        | Procedure; and Section 7.0, Quality     |
|         |        |        | Records: Updated to identify certain    |
|         |        |        | inputs and outputs as electronic, and   |
|         |        |        | to further describe outputs identified  |
|         |        |        | as quality records.                     |
|         |        |        |                                         |
|         |        |        | Section 7.0: Added NPG 1441.1           |
|         |        |        | reference.                              |
+---------+--------+--------+-----------------------------------------+
|         |        |        |                                         |
+---------+--------+--------+-----------------------------------------+
|         |        |        |                                         |
+---------+--------+--------+-----------------------------------------+

**PREFACE**

The NASA Office Work Instruction (OWI) for Advocate the ESE Budget
documents the tasks and activities in conformance with the International
Organization for Standardization's (ISO) 9001 requirements for quality
systems. The OWI supplements the *NASA Strategic Plan*, the *NASA
Strategic Management Handbook*, and other higher level NASA directives,
which form the basis for how NASA conducts business.

This OWI is not intended to duplicate or contradict any other NASA
policy, procedures or guidelines, which currently exist. As such, the
OWI will reference prevailing documents where a topic is addressed and
existing coverage is deemed adequate. Additional information provided
within is intended to supplement existing documentation regarding
Headquarters (HQ) implementation of strategic and program/project
management, as well as HQ conformance with the ISO 9001 Quality
Management System (QMS) requirements.

**TABLE OF CONTENTS**

[PARAGRAPH]{.underline} PAGE

**1.0 PURPOSE [5](#purpose)**

2.0 SCOPE AND APPLICABLILITY [5](#scope-and-applicablility)

3.0 DEFINITIONS [5](#definitions)

4.0 REFERENCES [5](#references)

5.0 FLOWchart [6](#flowchart)

6.0 PROcedure [7](#procedure)

7.0 QUALITY RECORDS [10](#quality-records)

#   {#section .unnumbered}

# 1.0 PURPOSE

This OWI documents the NASA Earth Science Enterprise (ESE) procedure for
advocating the ESE budget.

# 2.0 SCOPE AND APPLICABLILITY

2.1 [Scope]{.underline}. The ESE budget advocacy procedure includes
internal and external advocacy activities. Internal advocacy activities
occur between the ESE budget submittal to the Office of the Chief
Financial Officer, and the Agency's submittal to the OMB. External
budget advocacy activities covered are advocacy to the OMB and advocacy
to Congress.

ESE budget advocacy activities, together with the activities described
in HQOWI 7410-Y006, *Formulate the ESE Budget*, and in HQOWI 7410-Y008,
*Execute the ESE Budget*, provide ESE with a systematic and documented
method for ensuring that ESE understands and can meet its customers\'
needs. These activities provide the objective evidence that requirements
are adequately defined, differences are understood and resolved, and
reviews are done to determine if the capability exist to meet customer
requirements. ESE documents its understanding of the requirements and
determines its capability to meet customer requirements through budget
formulation and internal budget advocacy activities. ESE identifies and
resolves discrepancies with OMB and Congress through external advocacy
activities. The ESE portion of the Agency Operating Plan, established in
budget execution activities, reflects the agreement between ESE and the
Congress on program content. The operating plan tracks back to the
Congressional appropriation, and documents how the Enterprise plans to
spend the funds to ultimately meet customer requirements.

2.2 [Applicability]{.underline}. This work instruction for Advocate the
ESE Budget applies to the NASA Office of Earth Science (OES, Code Y)
offices and divisions. The Associate Administrator for Earth Science is
responsible for maintaining this document. The controlled version of
this OWI is available on the World Wide Web (WWW) via the HQ ISO 9000
Document Library at [http://hqiso9000.hq.nasa.gov]{.underline}. Any
printed version of this OWI is uncontrolled (reference: HCP 1400.1,
*Document and Data Control*). Proposed revisions will be accomplished by
following HQOWI 1410-Y015, *Approve Quality Documents*.

# 3.0 DEFINITIONS

Appendix B of the *Earth Science Enterprise Management Handbook*
provides ESE-specific terms and definitions.

# 4.0 REFERENCES

The following document contains provisions that, through reference in
this OWI or in policy or procedure documents, constitute the basis for
the documented procedure:

> NPG 1000.2 NASA Strategic Management Handbook

# 5.0 FLOWchart

![](media/image2.wmf)The following flowchart depicts the procedure
described in Section 6. Outputs in boldface type represent the quality
records listed in Section 7.

# 6.0 PROcedure

Budget advocacy may be viewed as having two major elements: internal
advocacy and external advocacy. Internal advocacy covers the activities
where the ESE justifies its budget within the Agency. Sometimes these
internal activities are considered to be part of the budget formulation
process, because from the Agency perspective the budget is still being
formulated. However, from an ESE perspective, the specific activities
the Enterprise performs during the internal advocacy period are best
characterized as budget advocacy as opposed to budget formulation.

Budget advocacy also includes external advocacy, which covers the
processes in which the Enterprise justifies its budget to the Office of
Management and Budget and the Congress.

The following table describes the flowchart of Section 5.

+----------------+---+-------------------------------------------------+
| Actionee       |   | Action                                          |
+----------------+---+-------------------------------------------------+
|                |   | [Internal Budget Advocacy.]{.underline}         |
|                |   | Internal budget advocacy encompasses those      |
|                |   | activities that occur between the ESE submittal |
|                |   | to the Office of the Chief Financial Officer    |
|                |   | and the Agency's submittal to the OMB. The      |
|                |   | internal budget advocacy activity includes the  |
|                |   | following major tasks:                          |
+----------------+---+-------------------------------------------------+
| Associate      | 1 | -   *Brief Programs*. The Business Management   |
| Administrator  |   |     Division prepares a series of presentations |
|                |   |     which include a summary of program          |
| Business       |   |     accomplishments and status, changes to the  |
| Management     |   |     previous budget baseline, program and       |
| Division       |   |     project schedules and content, and major    |
|                |   |     issues. The intent of these presentations   |
|                |   |     is to provide senior Agency management with |
|                |   |     the information it needs to make policy     |
|                |   |     decisions and properly balance the Agency's |
|                |   |     total program. The primary presentation is  |
|                |   |     prepared for the Capital Investment Council |
|                |   |     (CIC)[^1], and other presentations are      |
|                |   |     outgrowths or tailorings of this primary    |
|                |   |     presentation.                               |
|                |   |                                                 |
|                |   |     The Associate Administrator gives the       |
|                |   |     presentations to the CIC and the Senior     |
|                |   |     Management Council (SMC)[^2]. The Director, |
|                |   |     Business Management Division, may also give |
|                |   |     the presentation to the Comptroller.        |
+----------------+---+-------------------------------------------------+
| Associate      | 2 | -   *Conduct Reclama*. After hearing the budget |
| Administrator  |   |     recommendations provided by each of the     |
|                |   |     strategic enterprises and the Headquarters  |
| Business       |   |     staff offices, the NASA Administrator makes |
| Management     |   |     preliminary budget decisions. The Office of |
| Division       |   |     the Chief Financial Officer communicates    |
|                |   |     this preliminary budget mark to the         |
|                |   |     enterprises.                                |
|                |   |                                                 |
|                |   |     The preliminary budget mark may contain     |
|                |   |     requests for additional data or for         |
|                |   |     assessments of program options. Each        |
|                |   |     enterprise is afforded the opportunity to   |
|                |   |     react to the preliminary budget mark,       |
|                |   |     usually in the form of a brief meeting      |
|                |   |     between the NASA Administrator, the         |
|                |   |     Associate Administrator, and the Agency     |
|                |   |     Comptroller.                                |
|                |   |                                                 |
|                |   |     Following the reclama sessions, the NASA    |
|                |   |     Administrator makes final budget decisions  |
|                |   |     that form the basis for the Agency's budget |
|                |   |     submittal to the OMB. These decisions are   |
|                |   |     formally communicated to the enterprises by |
|                |   |     the Office of the Chief Financial Officer.  |
+----------------+---+-------------------------------------------------+
|                |   | [External Budget Advocacy]{.underline}.         |
|                |   | External budget advocacy encompasses a broad    |
|                |   | range of formal and informal activities on the  |
|                |   | part of many individuals within and outside of  |
|                |   | the Enterprise. The following two formal budget |
|                |   | advocacy activities occur every year on a       |
|                |   | predictable schedule:                           |
+----------------+---+-------------------------------------------------+
| Associate      | 3 | -   *Advocate ESE Budget to the OMB*. This      |
| Administrator  |   |     phase of the advocacy process runs from     |
|                |   |     September through December of each year. It |
| Business       |   |     begins with the formal submittal of the     |
| Management     |   |     Agency's budget to the OMB. The Business    |
| Division       |   |     Management Division prepares brief          |
|                |   |     narratives describing the status and plans  |
|                |   |     of ESE programs and projects, and also      |
|                |   |     prepares several spreadsheet-type formats   |
|                |   |     to support the Agency submittal. These      |
|                |   |     formats are established by the Office of    |
|                |   |     the Chief Financial Officer, which has the  |
|                |   |     responsibility to consolidate and integrate |
|                |   |     the Agency's budget request to the OMB.     |
|                |   |                                                 |
|                |   |     Shortly after the formal submittal, the     |
|                |   |     Associate Administrator provides a          |
|                |   |     presentation to the OMB. This presentation  |
|                |   |     focuses on the past year's accomplishments, |
|                |   |     current status, performance measures, and   |
|                |   |     future plans. It is prepared by the         |
|                |   |     Business Management Division with support   |
|                |   |     from the technical divisions (Research;     |
|                |   |     Applications, Commercial, and Education;    |
|                |   |     and Program Planning and Development). As   |
|                |   |     part of this process, the OMB often         |
|                |   |     provides written questions which are        |
|                |   |     answered either as part of the presentation |
|                |   |     or as follow-up responses after the         |
|                |   |     presentation. The Business Management       |
|                |   |     Division coordinates the responses to these |
|                |   |     questions. After some deliberation, the OMB |
|                |   |     usually provides a preliminary budget mark  |
|                |   |     to the Agency in late November, and the     |
|                |   |     Agency is given a brief period in which to  |
|                |   |     respond. ESE participation in the Agency's  |
|                |   |     response depends on the content of the mark |
|                |   |     and the strategic decisions made by the     |
|                |   |     NASA Administrator. In December, the OMB    |
|                |   |     provides final budget marks and policy      |
|                |   |     direction to the Agency. This forms the     |
|                |   |     basis of the President's budget request to  |
|                |   |     Congress.                                   |
+----------------+---+-------------------------------------------------+
| Associate      | 4 | -   *Advocate ESE Budget to Congress*. This     |
| Administrator  |   |     stage of the advocacy process begins with   |
|                |   |     the preparation of the President's Budget   |
| Business       |   |     Estimates. The Business Management Division |
| Management     |   |     drafts the Earth Science section of the     |
| Division       |   |     Agency's budget request. This draft is sent |
|                |   |     to the technical divisions for comments and |
|                |   |     revisions, and then to the Office of the    |
|                |   |     Chief Financial Officer (Code B) for final  |
|                |   |     editing and consolidation into the Agency's |
|                |   |     budget narratives. The Business Management  |
|                |   |     Division also prepares a comprehensive      |
|                |   |     back-up book which displays the budget at a |
|                |   |     low level of detail and provides supporting |
|                |   |     information on, for example, budget         |
|                |   |     changes, program and project schedules, and |
|                |   |     staffing.                                   |
|                |   |                                                 |
|                |   |     During the period in which Congress reviews |
|                |   |     the President's budget request, the         |
|                |   |     Business Management Division typically      |
|                |   |     performs four types of external budget      |
|                |   |     advocacy activities: preparation of white   |
|                |   |     papers, preparation of draft testimony,     |
|                |   |     presentation of a briefing to Congressional |
|                |   |     staff, and generation of draft responses to |
|                |   |     Congressional questions. White papers       |
|                |   |     provide a one-page discussion of those      |
|                |   |     program issues that are likely to be raised |
|                |   |     during staff briefings or during the        |
|                |   |     hearings. Testimony typically consists of a |
|                |   |     brief set of remarks that the Associate     |
|                |   |     Administrator will make during              |
|                |   |     Congressional committee hearings, as well   |
|                |   |     as a more extended discussion of program    |
|                |   |     accomplishments, status, and plans that is  |
|                |   |     provided for the Congressional record.      |
|                |   |     Briefings to Congressional staff may be     |
|                |   |     either formal presentations to an entire    |
|                |   |     committee staff or a series of informal     |
|                |   |     meetings between the Associate              |
|                |   |     Administrator and individual Congressional  |
|                |   |     staffers. Finally, following hearings,      |
|                |   |     briefings, or individual meetings, there    |
|                |   |     are usually written questions that require  |
|                |   |     responses. ESE forwards the draft testimony |
|                |   |     and draft responses to Congressional        |
|                |   |     questions to the Office of Legislative      |
|                |   |     Affairs (Code L) for finalization.          |
|                |   |                                                 |
|                |   |     The specific tasks as well as the schedule  |
|                |   |     vary from year to year. The Business        |
|                |   |     Management Division works with the division |
|                |   |     directors to ensure that all required       |
|                |   |     products are produced. In general, the      |
|                |   |     Business Management Division typically      |
|                |   |     takes the following steps in performing     |
|                |   |     external budget advocacy activities:        |
|                |   |                                                 |
|                |   | ```{=html}                                      |
|                |   | <!-- -->                                        |
|                |   | ```                                             |
|                |   | -   Receive questions and requests for white    |
|                |   |     papers, testimony, and briefings from the   |
|                |   |     Office of Legislative Affairs (Code L).     |
|                |   |     Requests may be in support of the annual    |
|                |   |     budget process, or they may be ad hoc       |
|                |   |     requests.                                   |
|                |   |                                                 |
|                |   | -   When preparing white papers and testimony   |
|                |   |     in support of the annual budget process,    |
|                |   |     meet with the Associate Administrator for   |
|                |   |     guidance.                                   |
|                |   |                                                 |
|                |   | -   Identify the information and inputs needed, |
|                |   |     and their sources.                          |
|                |   |                                                 |
|                |   | -   Distribute assignments, questions, or other |
|                |   |     requests for inputs to the appropriate      |
|                |   |     Enterprise staff.                           |
|                |   |                                                 |
|                |   | -   Consolidates the inputs into the required   |
|                |   |     product, coordinate reviews among the       |
|                |   |     divisions as appropriate, and incorporate   |
|                |   |     comments.                                   |
|                |   |                                                 |
|                |   | -   Obtain the Associate Administrator's        |
|                |   |     approval of the final product.              |
|                |   |                                                 |
|                |   | -   Coordinate with Code L, Code B, and other   |
|                |   |     NASA codes as appropriate.                  |
|                |   |                                                 |
|                |   | -   Forward the final product to Code L for     |
|                |   |     filing and in the case of white papers,     |
|                |   |     testimony, and briefings, for delivery to   |
|                |   |     the NASA presenter or, in the case of       |
|                |   |     responses to congressional inquiries, for   |
|                |   |     delivery to the congressional requester.    |
+----------------+---+-------------------------------------------------+

#  7.0 QUALITY RECORDS

+--------------+-------+-------+-------+------------+---------------+
| RECORD       | OWNER | LOC   | MEDIA | SCHEDULE   | RETENTION /   |
| ID           |       | ATION |       | AND ITEM   | DISPOSITION   |
| ENTIFICATION |       |       | Elect | NUMBERS\*  |               |
|              |       |       | ronic |            |               |
|              |       |       | or    |            |               |
|              |       |       | Har   |            |               |
|              |       |       | dcopy |            |               |
+==============+=======+=======+=======+============+===============+
| Summary      | Reso  | Bus   | Elect | Schedule   | Destroy 2     |
| Presentation | urces | iness | ronic | 7, Item    | years after   |
| to the       | Team  | Manag |       | 21,        | the close of  |
| Capital      | Lead  | ement |       | "Budget    | the fiscal    |
| Investment   |       | Div   |       | and        | year.         |
| Council      |       | ision |       | P          |               |
| (CIC)        |       |       |       | rogramming |               |
|              |       |       |       | Resources  |               |
|              |       |       |       | /          |               |
|              |       |       |       | App        |               |
|              |       |       |       | ortionment |               |
|              |       |       |       | Files,"    |               |
|              |       |       |       | paragraph  |               |
|              |       |       |       | D.1.       |               |
+--------------+-------+-------+-------+------------+---------------+
| Summary      | Reso  | Bus   | Elect | Schedule   | Destroy 2     |
| Presentation | urces | iness | ronic | 7, Item    | years after   |
| to the OMB   | Team  | Manag |       | 21,        | the close of  |
|              | Lead  | ement |       | paragraph  | the fiscal    |
|              |       | Div   |       | D.1.       | year.         |
|              |       | ision |       |            |               |
+--------------+-------+-------+-------+------------+---------------+
| Responses to | Reso  | Bus   | Elect | Schedule   | Destroy 2     |
| OMB          | urces | iness | ronic | 7, Item    | years after   |
| Questions    | Team  | Manag |       | 21,        | the close of  |
|              | Lead  | ement |       | paragraph  | the fiscal    |
|              |       | Div   |       | D.1.       | year.         |
|              |       | ision |       |            |               |
+--------------+-------+-------+-------+------------+---------------+
| ESE          | Reso  | Bus   | Elect | Schedule   | Destroy 2     |
| President's  | urces | iness | ronic | 7, Item    | years after   |
| Budget       | Team  | Manag |       | 21,        | the close of  |
| Estimates    | Lead  | ement |       | paragraph  | the fiscal    |
|              |       | Div   |       | D.1.       | year.         |
|              |       | ision |       |            |               |
+--------------+-------+-------+-------+------------+---------------+
| White Papers | Reso  | Bus   | Elect | Schedule   | Destroy 2     |
|              | urces | iness | ronic | 7, Item    | years after   |
|              | Team  | Manag |       | 21,        | the close of  |
|              | Lead  | ement |       | paragraph  | the fiscal    |
|              |       | Div   |       | D.1.       | year.         |
|              |       | ision |       |            |               |
+--------------+-------+-------+-------+------------+---------------+
| Draft        | Reso  | Bus   | Elect | Schedule   | Destroy 2     |
| Testimony    | urces | iness | ronic | 7, Item    | years after   |
|              | Team  | Manag |       | 21,        | the close of  |
|              | Lead  | ement |       | paragraph  | the fiscal    |
|              |       | Div   |       | D.1.       | year.         |
|              |       | ision |       |            |               |
+--------------+-------+-------+-------+------------+---------------+
| Briefing to  | Reso  | Bus   | Elect | Schedule   | Destroy 2     |
| C            | urces | iness | ronic | 7, Item    | years after   |
| ongressional | Team  | Manag |       | 21,        | the close of  |
| Staff        | Lead  | ement |       | paragraph  | the fiscal    |
|              |       | Div   |       | D.1.       | year.         |
|              |       | ision |       |            |               |
+--------------+-------+-------+-------+------------+---------------+
| Draft        | Reso  | Bus   | Elect | Schedule   | Destroy 2     |
| Responses to | urces | iness | ronic | 7, Item    | years after   |
| C            | Team  | Manag |       | 21,        | the close of  |
| ongressional | Lead  | ement |       | paragraph  | the fiscal    |
| Questions    |       | Div   |       | D.1.       | year.         |
|              |       | ision |       |            |               |
+--------------+-------+-------+-------+------------+---------------+

\* Quality Records are retained in accordance with the referenced
schedule and item numbers from NPG 1441.1, *NASA Records Retention
Schedules.*

[^1]: The CIC is responsible for addressing significant Agency-wide
    capital investments and policy issues. See NPG 1000.2, *NASA
    Strategic Management Handbook*, for a full description of the CIC
    roles and responsibilities.

[^2]: Chaired by the Administrator, the SMC provides advice and counsel
    to the Administrator, and serves as a forum for the review and
    discussion of issues affecting Agency management. See NPG 1000.2,
    *NASA Strategic Management Handbook*.