# Presentation: 066125

## The NOAA Functional Model

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

**Notes:**
STICK TO THE SCRIPT!!! 

Don’t go CONOPS until slide 6.

## 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

**Notes:**
Quick overview of the entire presentation.

## 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

**Notes:**
Emphasize Criteria

## 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 NOAA’s 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

## Background & Discussion:Functional 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).

**Notes:**
Go CONOPS now.

## Background & Discussion:Functional Model Utility

**For the next generation Strategic Plan, **it would account for the work of the organization, NOAA’s 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

## Background & Discussion:Elements of a Functional Model

- The functions are derived from statutory requirements drivers; they comprehensively cover NOAA’s 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

**Notes:**
Point attention to requirements drivers print out.

## Functions to Manage Capital:

**Secure & Deploy a Knowledgeable Workforce**
- Manage and Train Workforce, Transfer Knowledge & Expertise, Obtain External Data, Maintain Records & Libraries, Solicit Stakeholder Feedback

**Acquire, Build & Maintain Infrastructure**
- Observation Platforms (Satellites, Ships, Aircraft, Buoys), Facilities, IT & Communication Systems

**Control Budget & Allocate Finances**
- Appropriations, Inter-Agency Transfers, Grants & Contracts, Reimbursables

**Structure & Direct the Organization**
- Manage Organizational Structures, Spatial Locations, Develop Professional Networks, Conduct Planning and Programming

## Background & Discussion:NOAA’s Functions

- Workforce

- Infrastructure

- Finances

- The Organization

- Manage

## Functions to Produce Intermediaries: 

**Research Environment & Develop Analytic Tools**
- Engage Knowledge Networks, Document Entities & Processes, Pose Questions & Hypotheses, Articulate Relationships & Causality, Develop Analytic Tools

**Observe Environment & Manage Data**
- Make Observations, Communicate Data, Process Data for Use, Control Data Quality, Assimilate Data, Archive Data

**Model Environment & Predict Changes**
- Design & Assemble Models, Make Models Operational, Run Models Operationally, Evaluate & Improve Models

## Background & Discussion:NOAA’s Functions

- Workforce

- Infrastructure

- Finances

- The Organization

- Observations
- & Data

- Models &
- Predictions

- Research &
- Development

- Manage

- Produce

## Functions to Provide Products:

**Provide Environmental Data & Information**
- Observation 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

## Background & Discussion:NOAA’s Functions

- Observations
- & Data

- Models &
- Predictions

- Research &
- Development

- Data &
- Information

- Expert
- Knowledge

- Ecosystem
- Stewardship

- Produce

- Provide

- Workforce

- Infrastructure

- Finances

- The Organization

- Manage

## Background & Discussion:Elements of a Functional Model

- NOAA’s functional model must also connect to the external applications for NOAA products—e.g. to NOAA’s 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**

## Functions to Apply Products:

- Maintain Safe, Efficient and Environmentally Sound
**Commerce & Transportation**

- Prepare for and Respond to Events of
**Weather & Water**

- Prepare for and Respond to Variations in
**Climate**

- Protect, Restore and Sustainably Manage
**Ecosystems**

**Notes:**
Functions of Application are EXTERNAL, though we plan to them internally.

## Background & Discussion:NOAA’s Functions

- Observations
- & Data

- Models &
- Predictions

- Research &
- Development

- Data &
- Information

- Expert
- Knowledge

- Ecosystem
- Stewardship

- Produce

- Provide

- Apply

- Weather-Water
- Preparation &
- Response

- Climate
- Preparation &
- Response

- Ecosystem
- Management &
- Protection

- Comm & Tran
- Efficiency, Safety,
- Env Soundness

- Workforce

- Infrastructure

- Finances

- The Organization

- Manage

## The NOAA Functional Model

- Shapes Represent Functions.  Arrows Represent Value-Added.  Color Functions are Internal.  Grey Functions are External.

- Produce

- Provide

- Apply

- Manage

- Assess Products

- Provide Capital

## Background & Discussion:Potential 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 NOAA’s 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

## 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

## 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

## 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

**Notes:**
Immediate applications:
Inclusion in planning documents
AGM
Next Strategic Plan
Inclusion in communication documents
4-pager, etc.
CONOPS, if desired.

## Recommendation

**Alternative 2:** Adopt the proposed Functional Model, given the model’s
- Accuracy and comprehensiveness as a high-level depiction of the work of NOAA
- Utility for planning and communication

## BACKUP SLIDES

- NOAA’s Functions: Complete detail, with connection to societal benefits
- Context Diagram
- Application illustration:  CONOPS considerations
- Application illustration:  Describing multidisciplinary, distributed product lines (HAB forecasts)

## Manage

**Produce**

**Produce Environmental Research & Analytic Tools**
- Engage Knowledge Net-works, Document Entities & Processes, Pose Questions & Hypotheses, Articulate Relationships & Causality, Develop Analytic Tools

**Produce Environmental Observation Data**
- Make Observations, Com-municate Data, Process Data for Use, Control Data Quality, Assimilate Data, Archive Data

**Produce Environmental Models & Predictions**
- Design & Assemble Models, Make Models Operational, Run Models Operationally, Evaluate & Improve Models

**Provide**

**Provide Environmental Data & Information**
- Observation Data and Assessments, Navigation Tools, Predictions & Projections, Warnings & Advisories.

**Provide Environmental Knowledge & Expertise**
- Scientific Discoveries & Techniques, Advice & Leadership, Outreach, Education & Training.

**Provide   Coastal & Marine Ecosystem**
**Management**
- Protection, Management and Restoration of  Coastal & Marine Resources, Protected Species and Habitats.

**Benefit**

**Apply**

- Maintain Safe, Efficient and Environmentally Sound
**Commerce & Transportation**

- Prepare for and Respond to Events of
**Weather &**
**Water**

- Prepare for and Respond to Variations in
**Climat**e

- Protect, Restore and Sustainably Manage
**Ecosystems**

- Innovative and efficient commerce

- Improved human health, security, and quality of life

- Reduced loss of life, injury, and damage to the economy

- Healthy and productive oceans & coasts

**Manage**
**Workforce**
- Obtain, Train, & Enable Workforce, Transfer Knowledge & Expertise, Maintain Records & Libraries, Information & Knowledge from External sources.

**Manage the**
**Organization**
- Manage Organizational Structures, PPBES, Inter- and Intra-agency Coordination and Integration, Develop Professional Networks.

**Manage**
**Infrastructure**
- Observation Platforms (Satellites, Ships, Aircraft, Buoys), Facilities, IT & Communication Systems.

**Manage**
**Finances**
- Appropriations, Inter-Agency Transfers, Grants & Contracts, Reimbursables.

## 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

## The Public

**OMB**

**DoC**

**EPA**

**DoI**

**DHS**

**DoD**

**DoA**

**DoE**

**NASA**

**NSF**

- Congress

- Colleges, Univer-sities & Institutes

- State & Local
- Auth-orities

- Private
- Industry & Enter-prise

**NOAA**

- Inter-national Com-munity

**HHS**

- finance

- infrastr.

- intell.

- exp. know.

- eco. mgmt.

- data & info.

- inputs:

- outputs:

- org.

## 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

- Eco
- Stew

- Exp
- Know

- Data
- & Info

- Weather-Water
- Preparation &
- Response

- Climate
- Preparation &
- Response

- Ecosystem
- Management &
- Protection

- Comm & Tran
- Efficiency, Safety,
- Env Soundness

- 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**.

## Application Illustration: CONOPS Considerations

- Development of an Output-Application CONOPS requires a basic taxonomy of NOAA’s 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**

## Eco.

- Observations

- Predictions & Projections

- Public Warnings & Advisories

- Discoveries & Techniques

- Advice & Leadership

- Outreach, Education & Training

- Protection of Ecosystems

- Management of Ecosystem Use

- Restoration of Threatened Ecosystems

- Data on Environmental Conditions

- Weather Forecasts

- Navigation Tools

- Assessments of Environmental Conditions

- Ecosystems Forecasts

- Climate Predictions & Projections

- Hydrology Forecasts

- Climate Hazard Information

- Ecosystem Hazard Information

- Weather & Water Hazard Information

- Technical Methodologies

- Scientific & Technical Findings

- Educational Services

- Federal Government Advice & Leadership

- State, Local & Tribal Advice & Leadership

- Training on NOAA Products

- Media Services

- International Advice & Leadership

- Protection of Threatened/Endangered Species

- Protection of Geographic Areas

- Regulation of Fisheries

- Recovery of Habitat

- Hazmat Response

- Resource Direction for State Management

- Stew.

- Exp.
- Know.

- Data
- & Info.

## Eco.

- Observations

- Predictions & Projections

- Public Warnings & Advisories

- Discoveries & Techniques

- Advice & Leadership

- Outreach, Education & Training

- Protection of Ecosystems

- Management of Ecosystem Use

- Restoration of Threatened Ecosystems

- Data on Environmental Conditions

- Weather Forecasts

- Navigation Tools

- Assessments of Environmental Conditions

- Ecosystems Forecasts

- Climate Predictions & Projections

- Hydrology Forecasts

- Climate Hazard Information

- Ecosystem Hazard Information

- Weather & Water Hazard Information

- Technical Methodologies

- Scientific & Technical Findings

- Educational Services

- Federal Government Advice & Leadership

- State, Local & Tribal Advice & Leadership

- Training on NOAA Products

- Media Services

- International Advice & Leadership

- Protection of Threatened/Endangered Species

- Protection of Geographic Areas

- Regulation of Fisheries

- Recovery of Habitat

- Hazmat Response

- Resource Direction for State Management

- Stew.

- Exp.
- Know.

- Data
- & Info.

## Example: HAB ForecastsProgrammatic Perspective

**Ecosystem Research Program**
- Turn data and scientific
- understanding into
- a forecast
- Train future operators
- Make forecast applicable to new regions

**Coasts Estuaries & Oceans Program**
- Buoy winds

**Science, Technology & Infusion Program**
- Satellite
- chlorophyll

*external*
- gridded
- winds

*external*
- In situ hab
- Cell counts

**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

**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

- customer

- data

- images

- data

- data for testing

- forecast
- needs

- models

- forecast
- needs

- software

- operating
- procedures

- operator
- training

- customer
- feedback

**forecasts**

- customer
- feedback

- customer
- feedback
- (‘this is/isn’t
- what we
- need”)

- advertise-
- ment
- of forecasts

- how to use
- our forecasts

*external*
- Surface stress

- data

**Notes:**
NCCOS successfully transitioned to CO-OPS for operations.  

Technical development and training is mainly done by Rick Stumpf et al. at NCCOS.  Plans for operations at CO-OPS are underway with Stumpf’s people training future operators.  
Coast Survey Development Lab (CSDL) is working on advection models for future versions.  
Both CEO and CMR talk of a similar capability that is looking at decision support tool generation as well as education and outreach.  The reason both programs are listed in this process is that CSC is capacity associated with this capability.  
I did not place much emphasis on customer interactions or who the customers are on this slide.  The interactions are extensive.  Customers contact each part of the process right now, commenting on accuracy of the prediction, performance of the tools, and continuity of operations.  
External??:  Florida provides HAB cell count data,  COMPS (South FL) provides surface stress, and ROMS (Rutgers) provides gridded wind.   

Good Contacts:  Rick Stumpf (NOS), Ruth Kelty (NOS)

## Example: HAB ForecastsFunctional Perspective

- Manage Intellectual Capital
- Obtain data on gridded winds, surface stress, in situ HAB cell counts; train future model operators; get stakeholder feedback.

- Manage Organizational Capital
- Organizational Structures, Professional Networks, Geospatial Locations

- Manage Infrastructural Capital
- Buoys, Satellites, Labs, Offices

- Manage Financial Capital
- Direct & Reimbursable Allotments

- Research Environment & Develop Analytic Tools
- Develop Advection models for future versions of the forecast, software to make GIS-based decision support tool.

- Observe Environment & Manage Data
- Observe, Process, Assimilate, Archive, Communicate wind, chlorophyll data.

- Model Environment & Predict Changes
- Turn data and scientific understanding into a forecast; Make forecast applicable to new regions; Operate the forecast 8/5.

- Provide Environmental Data & Information
- Use software developed by CEO/CMR-CSC to generate the forecast product

- Provide Environmental Knowledge & Expertise
- Develop education and outreach to make users aware and proficient

- Manage Coastal & Marine Ecosystems
- None.

- Example: HAB ForecastsFunctional Perspective