# Presentation: 544531

## Research Review ReportProposed NOAA Responses

- James R. Mahoney, Ph.D.
- Assistant Secretary of Commerce for Oceans and Atmosphere and NOAA Deputy Administrator
- NOAA Science Advisory Board meeting, November 2, 2004

## Slide 2

**Notes:**
Two items on ‘Research Vision/Plan’ and ‘Cooperative Research’ will be briefed separately at the same meeting

## Status

- NOAA’s implementation plan to address the Research Review Team’s recommendations
- Reviewed and approved by DOC and forwarded to OMB

## Recommendation 1

- Research Plan and NOAA’s Mission:
- Develop a 20-year Research Vision & a 5-year Research Plan
- NOAA agrees a Research Vision and a Research  Plan will provide broad research guidance & directions as well as specific research plans & goals
- More details will be presented in a separate briefing during this meeting

**Notes:**
RRT Findings:
   no research strategy/plan to support SP;
(2)   weak communication on research with Congress, OMB, and internal/external communities.

## Recommendation 2

- Research Organization:
- Establish an Associate Administrator for Research and a Research Board
- NOAA Alternative:  the Deputy Administrator serves as the senior management official for research in NOAA and the NEC provides oversight of NOAA’s research

**Notes:**
RRT-Finding:
NOAA’s organization of research lacks a strong & coherent research management structure to execute a NOAA-wide Research Plan.

To better coordinate its research enterprise, 
NOAA formed its Research Council in 2002, and charged it with ensuring NOAA services are based on sound science and its research programs are integrated, coordinated and consistent with the NOAA mission and Strategic Plan;
The NEC, NOAA’s highest-level executive management body, has also been charged with active oversight of NOAA’s research;
The Administrator assigned the Deputy Administrator to the senior manage official with the responsibility for overseeing the development of a cohesive, responsive research program.

## Recommendation 3

- Transitioning Research:
- Formalize the process to transition research to operations and information services
-  NOAA will develop a policy for transferring research to operations & information services
-  SAB briefing is planned for March 2005

**Notes:**
RRT-Findings:
   The transition of research to operations is not emphasized enough;
(2)   NOAA lacks an agency-wide research transition plan;
   Push-Pull process is not well structured and balanced

To facilitate the transitioning of research:  
NOAA will develop a policy for transferring research to operations and information services by December 2004 under the direction of the NEC and the Deputy Administrator. 
 The next SAB meeting is scheduled for March 22-23, 2005; a progress update is planned. 

## Recommendation 4

- Research Location:
- Develop criteria to determine where research is located within NOAA;
- Apply the criteria to existing and proposed research activities, and identify opportunities for migration; and
- Establish an External Task Team to evaluate/strengthen the structure & function of ecosystem research programs

**Notes:**
RRT-Findings:
   No formal process/criteria for structuring research organizations; 
   No clear process for determining research locations;
   NOAA needs to manage long-term research investment; 
  In mission of ecosystem, NOAA needs to provide the best advice, based on    science, for management, policy, and regulatory decisions. 

## Recommendation 4

- Research Location: (continued)
- NOAA will be asking the SAB to set up an Ecosystem Task Team to help evaluate and strengthen the structure and function of ecosystem research in NOAA
- NOAA has set up an internal working group to assist the external Ecosystem Task Team
- NOAA is setting up another Task Team to focus on criteria to determine the location of non-ecosystem research in NOAA
- SAB briefings of the reports on ecosystem and non-ecosystem research (and the integration of both) are planned for            July 2005

**Notes:**
 To be responsive to this RRT recommendation:
 A Working Group internal to NOAA has been set up recently to assist the Ecosystem Task Team (ETT) (which is in the process of being established). NOAA will ask the SAB to identify external candidates for the ETT by December 2004.
 The Working Group’s assignment was to develop a candidate list and ETT charter.
 A framework document for addressing these needs was crafted by the Group.  It includes: Background on NOAA’s intended action; suggested terms of reference; recommendations re: number of candidates & qualifications; a proposed selection process; and an approach, including a timetable. 
 To follow is the list of the Working Group members: Chair, Mike Sissenwine (NMFS); John Janowiak (NWS); Peter Ortner (OAR); Jean Snider (NOS); Sennen Salapare (PA&E); Michael Ford (PPI); NESDIS - TBD
 In parallel with this effort, NOAA’s Research Council will develop criteria to determine the location of all other research in NOAA. To date, the Council members have been asked to develop a candidate list.  R. Rosen will evaluate the list and name the Non-Ecosystem Research team members next week.
 SAB meeting is scheduled for July 12-13, 2005

## Recommendation 5

- Extramural Research:
- Better articulate the importance of extramural research; increase involvement of the extramural community; and improve the administration of awards
- NOAA will provide clear information on the total budget and an estimate of funds proposed for the extramural community in the President’s FY06 budget and thereafter
- NOAA will engage the external community on how and when they can provide input to NOAA’s fiscal planning, and provide a schedule for the upcoming planning cycle
- NOAA will fully implement the Grants OnLine system in 2005

**Notes:**
RRT-Findings:
 A lack of understanding for the necessity and the role of extramural research in support of the NOAA mission;
 NOAA has not provided Congress and OMB sufficient explanation for the importance of its extramural partners;
 NOAA needs to administer grants and contracts in a timely manner
To enhance NOAA’s involvement with the extramural research community:
The extramural community was asked to comment on NOAA’s 5-year Research Plan and 20-year Vision in Aug.2004, and to be part of the process to revise these documents on an ongoing basis.  
 The 5-year Research Plan clearly states that “NOAA is committed to maintaining a strong relationship with the external research community by expending a significant portion of our research funding outside NOAA.” The plan articulates the different kinds of funding mechanisms that NOAA will use to fulfill this commitment:  announcements of opportunity for individual PIs, cooperative institutes, Sea Grant, and others. 
NOAA has also committed to sharing our planning schedule (which drives our fiscal priorities for the budget year) with the external community in February.
NOAA is committed to providing more time and seeking a wider audience to comment on our Annual Guidance Memorandum; in fact, the SAB commented on our AGM this year, as did our CI partners.
NOAA’s Grants Management Division is to launch Grants OnLine as its initial capability November 2004; final implementation is targeted for March 2005.

## Recommendation 6

- Cooperative Research:
- Standardize processes for Cooperative Institutes and other cooperative arrangements
- NOAA is drafting a consistent set of processes for awarding and operating all Joint and Cooperative Institutes across NOAA
- More details will be presented in a separate briefing during this meeting

**Notes:**
RRT-Findings: 
There is no clear statement on guidelines for the creation of a NOAA Joint Institute

NOAA’s action with regard to cooperative institute research:
NOAA’s draft proposed guidelines are currently being circulated through the NOAA Research Council for comment in anticipation of eventual publication in the Federal Register for public comment.

## Recommendation 7

- Reimbursable Research:
- Establish clear guidelines to ensure reimbursable work directly supports NOAA’s mission
- NOAA is conducting an assessment of reimbursable research
- NOAA is developing a policy on reimbursable research and will ensure that NOAA’s research is in compliance with that policy once it is formed

**Notes:**
RRT-Findings: 
   The labs lack any clear corporate guidance regarding solicitations or receipt of reimbursable external support; 
    Reimbursable work has, at times, conflicted with providing research support for NOAA mission priorities

To ensure that reimbursable work directly supports NOAA’s mission:
We are assessing the benefits and risks of the reimbursable research 
We are in the process of composing a financial working group to conduct an assessment of the reimbursable work done by its research organizations and to propose policy revisions. 
 The OAR lead of the financial working group has been identified. [Paul Johnson, who has responsibility in OAR for addressing reimbursable agreements, is the working group’s lead.]  
 Our next step is to go to the NOAA Research Council with a request to identify others for the working group.  By March 2005, the NOAA Research Council, through the efforts of this working group, expects to have undertaken an assessment of the reimbursable work and will propose revisions to the current policy as needed. 

## Recommendation 8

- Research Organization within OAR:
- NOAA/OAR should strengthen research management processes within OAR
- NOAA agrees that management in OAR should be strengthened
- NOAA will submit a proposal to DOC to realign HQ functions in OAR to promote stronger leadership and management

**Notes:**
RRT-Findings:
   There has not been sufficiently strong leadership and processes in OAR
   Insufficient definition of focus and scope of research activities across OAR labs

Notes:
The full package of outlining an approach has been developed.  It is still undergoing NOAA internal review, but it is on track.

## Recommendation 9

- Research Organization in Boulder:
- NOAA should consolidate the laboratories in Boulder to improve execution and increase multidisciplinary collaboration
- NOAA agrees consolidation of the Boulder laboratories will lead to improved quality of research, efficient use of resources, and better collaboration
- A Boulder Planning & Transition Team has been established to define a new consolidated structure

**Notes:**
RRT-Findings:
RRT review of the labs in Boulder identified opportunity of enhancement for:
   Improve quality of research planning and execution
   Make more efficient use of infrastructure resources and funding
   Increase opportunities for multi-disciplinary collaboration

**    Implementation of the consolidation plan will commence after Congressional notification

## Recommendation 10

- Air Resources Laboratory:
- Conduct a core capability analysis of the Air Resources Laboratory
- NOAA has established a team to conduct a core capability analysis of the Air Resources Laboratory
- Draft report will be completed in 2005

**Notes:**
RRT-Findings:
   Complexity of the organization may limit its long-term effectiveness and ability to identify with NOAA’s mission
   The ARL contains expertise that is important to national research responsibility, interests, and capability; it should not be lost

Notes:
ARL is extremely diverse, both geographically and in the talent pool
Classified work

## Recommendation 11

- Continuing Oversight:
- NOAA should review progress in implementing the recommendations from the Research Review
- NOAA will be requesting the SAB to appoint an external team to review progress in implementing recommendations from the Research Review Team
- NOAA Research Review Report was issued in August 2004

**Notes:**
RRT-Findings:
   Little change as a result of previous external reviews and recommendations
   NOAA has not instituted the necessary changes that Congress deems necessary

**    NOAA will ask its SAB to complete the review one year after the RRT report