NOAA's Observing Systems: Additional Steps Needed to Achieve an Integrated, Cost-Effective Portfolio
Published: 2014-11-17T00:00:00

Fast Facts:

Highlights:
section_title: Why GAO Did This Study
paragraphs: NOAA operates and maintains a portfolio of observing systems to capture the environmental data needed to achieve its diverse missions. Some of these systems focus on the oceans, coasts, and Great Lakes. An observing system is a collection of one or more sensing elements that measures specific environmental conditions and resides on fixed or mobile platforms, such as buoys or satellites.
The House Appropriations Committee fiscal year report for the Department of Commerce's 2013 appropriations bill mandated GAO to review NOAA's ocean and coastal data collection systems. This report (1) identifies and describes the ocean, coastal, and Great Lakes observing systems NOAA operates; (2) identifies the annual operations and maintenance costs of these systems for fiscal years 2012 through 2014; and (3) examines the extent to which NOAA has taken steps to integrate and improve the cost-effectiveness of its observing systems portfolio. GAO analyzed agency documentation on, among other things, the characteristics and management of NOAA's observing systems, reviewed cost data from fiscal year 2012 through 2014, and interviewed NOAA officials.
section_title: What GAO Found
paragraphs: The National Oceanic and Atmospheric Administration (NOAA) in the Department of Commerce operates 41 ocean, coastal, and Great Lakes observing systems. NOAA's Office of Oceanic and Atmospheric Research and National Ocean Service manage 25 of these observing systems, with management of the remaining 16 systems split among four other NOAA offices. The majority of NOAA's ocean, coastal, and Great Lakes observing systems use one of three platforms—buoys, satellites, or ships—to collect a range of environmental data, which are used to produce a variety of products, such as weather forecasts and navigational tools.
NOAA estimates it spent an average of approximately $430 million annually to operate and maintain its ocean, coastal, and Great Lakes observing systems in fiscal years 2012 through 2014. This is approximately 9 percent of NOAA's total annual appropriations for these years. In reviewing these estimates, GAO found NOAA's annual costs for these observing systems ranged from about $22 million for systems managed by the National Marine Fisheries Service to $198 million for systems managed by the Office of Marine and Aviation Operations in fiscal year 2014.
NOAA has not taken all of the steps it has identified as important to integrate and improve the cost-effectiveness of its observing systems portfolio. Since 2002, NOAA has identified the need to move toward an integrated observing systems portfolio. GAO's previous work has found that, in undertaking initiatives such as this, federal agencies can benefit from following leading practices for strategic planning, which include defining goals and performance measures to track progress. NOAA has not, however, developed a plan that clearly sets forth its vision for an integrated observing systems portfolio, the steps it needs to take to achieve this vision, or how it will evaluate its progress. NOAA officials said they have focused on taking specific steps toward integration rather than developing an integration plan. Without a plan, however, NOAA cannot be assured it has established a framework to effectively guide and assess the success of its observing system integration efforts. NOAA has also not assessed whether its observing systems are collecting unnecessarily duplicative data even though NOAA documents have identified the need to reduce duplication. NOAA officials told GAO that duplication is not a significant problem requiring further analysis. However, in the absence of an analysis, NOAA cannot know whether it is missing opportunities to achieve cost savings. NOAA has taken steps to integrate the management of its observing systems, including creating an observing systems council to provide a more centralized perspective on systems management. The agency has also developed analytical tools to assess its observing system capabilities and requirements, including a model to analyze investment options. Reliable cost data are needed to ensure the most accurate results from this model, but NOAA does not have a standard methodology for tracking its observing systems costs. NOAA officials said the agency is considering developing a better method for tracking observing system costs but has not established a time frame for doing so. Without accurate and consistent cost information, it will be difficult for NOAA to reliably compare the cost-effectiveness of its observing systems and make informed investment decisions.
section_title: What GAO Recommends
paragraphs: GAO recommends that NOAA develop a plan to guide the integration of its observing systems, analyze whether unnecessary duplication exists in its observing systems portfolio, and develop a standardized methodology for the routine preparation and reporting of observing systems costs. NOAA generally agreed with the recommendations.

section_title: Letter
paragraphs: The nation depends on data collected by ocean and coastal observing  systems to help produce a wide variety of products including weather  forecasts, tsunamis warnings, and nautical charts to support marine  commerce. An observing system is a collection of one or more sensing  elements that reside on a fixed or mobile platform, such as a buoy or  satellite. The sensing elements collect data to measure specific  environmental conditions, such as sea surface temperature or wave height.  The National Oceanic and Atmospheric Administration (NOAA), in the  Department of Commerce, is the federal agency responsible for managing  and operating a large portfolio of observing systems, a subset of which  gather ocean and coastal environmental data.
The House Appropriations Committee report for the Department of  Commerce’s fiscal year 2013 appropriations bill mandated GAO to report on  NOAA’s ocean and coastal data collection systems. This report (1)  identifies and describes the ocean, coastal, and Great Lakes observing  systems NOAA operates; (2) identifies the annual operations and  maintenance costs of these systems for fiscal years 2012 through 2014; and  (3) examines the extent to which NOAA has taken steps to integrate and  improve the cost-effectiveness of its portfolio of observing systems, including  ocean, coastal, and Great Lakes systems.
To identify which of NOAA’s observing systems collect data on oceans,  coasts, and the Great Lakes, we first identified a list of environmental  variables, known as “parameters,” related to the ocean, coast, and Great  Lakes. We identified 75 environmental parameters, such as wave direction,  salinity, and ocean temperature. We then reviewed NOAA’s entire observing  systems portfolio to identify which of the systems collect data on at least one  of these environmental parameters. We provided the list of ocean, coastal,  and Great Lakes observing systems we identified to NOAA officials and  incorporated their views into our final list as appropriate. To obtain  descriptive information about the systems, we reviewed agency  documentation, such as NOAA’s observing system summary reports, and  we interviewed NOAA officials. To identify NOAA’s costs to operate and  maintain its ocean, coastal, and Great Lakes observing systems, we asked  NOAA officials to provide cost data for these systems. NOAA does not have  a process to track observing system operations and maintenance costs.  However, as part of an analysis of its observing systems portfolio, NOAA  gathered cost information for fiscal years 2012 through 2014 by surveying  agency officials. We assessed the reliability of the information they provided  by, among other things, reviewing documentation of NOAA’s data collection  procedures and interviewing agency officials, including observing system  program managers. We found the data to be sufficiently reliable for the  purpose of our report, which is to provide an overview of the costs for  NOAA’s ocean, coastal, and Great Lakes observing systems. The data may  not, however, be sufficiently reliable for other purposes that require more  accurate cost data, such as for making comparisons of the relative cost- effectiveness of different observing systems. To determine the extent to  which NOAA has taken steps to integrate and improve the cost- effectiveness of its portfolio of ocean, coastal, and Great Lakes observing  systems, we reviewed agency and external documentation. Specifically, we  reviewed NOAA plans related to managing the agency’s observing systems  portfolio and documentation of the agency’s observing systems  management activities. In addition, we reviewed internal NOAA reports and  external reviews that identified opportunities to improve the management  and integration of the agency’s observing systems portfolio. We also  interviewed NOAA officials regarding the agency’s observing systems  management plans and activities. Appendix I contains a more detailed  description of our objectives, scope, and methodology. See appendix II for a  list of the ocean, coastal, and Great Lakes environmental parameters we  identified.
We conducted this performance audit from September 2013 to November  2014 in accordance with generally accepted government auditing standards.  Those standards require that we plan and perform the audit to obtain  sufficient, appropriate evidence to provide a reasonable basis for our  findings and conclusions based on our audit objectives. We believe that the  evidence obtained provides a reasonable basis for our findings and  conclusions based on our audit objectives.
subsections: section_title: Background
paragraphs: Six organizational entities within NOAA have responsibilities related to its  ocean, coastal, and Great Lakes observing systems. NOAA has six line  offices, which are responsible for executing the agency’s broad mission and  programs. Five of those line offices operate and maintain observing  systems. Staff offices support the line offices in achieving their missions  and one staff office—the Office of Marine and Aviation Operations—also  operates and maintains ocean, coastal, and Great Lakes observing systems.  The missions of the six offices with responsibilities related to ocean, coastal,  and Great Lakes observing systems are as follows:
National Environmental Satellite, Data, and Information Service:  Provides timely access to global environmental data from satellites and  other sources to promote, protect, and enhance the nation's economy,  security, environment, and quality of life.
National Marine Fisheries Service:  Promotes stewardship of living  marine resources through science-based conservation and management  and the promotion of healthy ecosystems.
National Ocean Service: Provides science-based solutions through  collaborative partnerships to address evolving economic, environmental,  and social pressures on the nation’s oceans and coasts.
National Weather Service: Provides weather, water, and climate data,  forecasts, and warnings for the protection of life and property and  enhancement of the national economy.
Office of Oceanic and Atmospheric Research: Provides the research  foundation for understanding the complex systems that support the  planet.
Office of Marine and Aviation Operations: Delivers effective earth  observation capabilities, integrates emerging technologies, and provides  a specialized, flexible, and reliable team responsive to NOAA and the  nation. This office manages, maintains, and operates NOAA’s fleet of  ships and aircraft, which the line offices use to gather data they need to  help achieve their missions.
NOAA is the lead federal agency responsible for implementing the  Integrated Coastal and Ocean Observation System Act of 2009 and has  established the U.S. Integrated Ocean Observing System (IOOS) program  office. This office is part of NOAA’s National Ocean Service and works with  18 federal agencies and 11 regional associations to expand, standardize,  and integrate ocean observing systems and data. The U.S. IOOS program  relies on the voluntary participation of its federal and regional partners to  achieve its coordination objectives, which have focused primarily on  increasing the data compatibility and integration among the observing  systems owned by NOAA, other federal agencies, and regional partners.  According to NOAA officials, the program does not manage any of these  systems, including those ocean, coastal, and Great Lakes observing  systems operated by NOAA.
On the basis of our review of NOAA documents and discussions with  agency officials, there are several ways in which integration could take place  in the context of an observing systems portfolio. One way is by changing  how a portfolio of observing systems is managed. This type of management  integration could occur to different degrees along a continuum. At one end of  the continuum, each individual observing system would be operated and  managed separately by its program manager, with little or no higher-level  organizational oversight. This would result in little to no integration because  decisions about operating and maintaining each individual system would be  made in isolation from each other. At the other end of the continuum, all the  observing systems would be managed centrally, rather than at the individual  program level. In this scenario, top-level managers would make decisions  about operating and maintaining the organization’s portfolio of systems by  considering trade-offs among all of the systems the organization manages.  Between the two extremes of individual and central management, a number  of other management approaches would offer different degrees of  integration. For example, several observing systems within the portfolio  could be grouped together and managed by a small number of  organizational units or individual programs could manage their systems but  also have some sort of oversight from higher levels in the organization.  Another way that integration can occur is for data collected by observing  systems to be integrated. For example, using a standardized data collection  format and quality control protocols increases the comparability of data  obtained from different observing systems. This would allow data from  multiple systems to be combined more efficiently for analysis and to produce  products, such as weather forecasts. Integration can also occur by  combining physical components (hardware) of various observing systems,  for example, by placing additional sensors on an existing platform to collect  data on different environmental parameters.
NOAA recognized the need to begin taking steps toward integrating its  observing systems portfolio in 2002, when the Under Secretary of  Commerce for Oceans and Atmosphere initiated a review to examine  NOAA’s strengths and identify opportunities for improvement. Historically,  most of NOAA’s observing systems were designed individually to meet  specific data collection needs. For example, the Marine Optical Buoy  observing system was designed to collect data on an environmental  parameter that is used by multiple satellites to validate their ocean color  imagery data. Most observing systems also used different data collection  formats, which historically made it difficult to combine and use data from  different systems. Management of NOAA’s observing systems portfolio was  decentralized and, according to NOAA documents, the agency considered  its systems to be “stovepiped.” The 2002 review generated many  recommendations, one of which called for NOAA to centrally plan and  integrate all observing systems. The report did not specify what central  planning and integration of NOAA’s observing systems portfolio would look  like or how the agency would accomplish these goals. NOAA officials we  spoke with described this review as the catalyst for the actions the agency  has taken since 2002 to address observing systems integration issues.
section_title: NOAA Operates 41 Ocean, Coastal, and Great Lakes Observing Systems
paragraphs: We identified 41 ocean, coastal, and Great Lakes observing systems at  NOAA. The Office of Oceanic and Atmospheric Research manages 14 of  NOAA’s ocean, coastal, and Great Lakes observing systems and the  National Ocean Service manages 11 observing systems. Management of  the remaining 16 systems is split between four other NOAA offices. Table 1  shows the number of ocean, coastal, and Great Lakes observing systems  each NOAA office manages. See appendix III for an alphabetized list of the  entire portfolio of NOAA’s ocean, coastal, and Great Lakes observing  systems we identified and appendix IV for a list and descriptions of the  systems organized by the office that manages them.
The majority of NOAA’s ocean, coastal, and Great Lakes observing systems  use one of three types of platforms—buoys, ships, or satellites—to collect  data on environmental parameters. Buoys are used by 18 of the agency’s  ocean, coastal, and Great Lakes observing systems. For example, the  Chesapeake Bay Interpretive Buoy System consists of 11 buoys located in  the Chesapeake Bay that collect meteorological, oceanographic, and water- quality data used to help protect and restore the area. (See fig. 1 for a map  of the buoy’s locations in the Chesapeake Bay.) Five of the observing  systems use a combination of NOAA ships or chartered vessels to collect  data. The National Marine Fisheries Service’s Fish Surveys, for example,  are conducted from ships and collect data on the distribution and abundance  of commercially-targeted and ecologically-important fish species. Four of the  observing systems use satellites as their primary platform. For example, the  Jason Ocean Surface Topography Mission satellite collects data for use in  ocean models to predict severe storm intensity. Other ocean and coastal  observing systems also use satellites to transmit their data to land-based  data centers.
Thirty-three of the 41 ocean, coastal, and Great Lakes observing system  platforms are located in situ—meaning situated where the data are  measured. For these systems, that means in the water. The other systems  are located remotely (either on land or in the atmosphere) and look down at  the environment they are measuring. Some in situ systems are on a fixed  platform, such as a moored buoy. These types of platforms are used to  obtain a series of measurements over a long time at the same location. For  example, the National Weather Service’s Tropical Atmospheric Ocean buoy  array was designed to study and predict climate variations due to the El Niño  Southern Oscillation on a year-to-year basis. This moored buoy system is  located in the equatorial oceans and it collects data on several  environmental parameters, such as air temperature and sea surface  temperature, as shown in figure 2. The data are transmitted via satellite to  NOAA and are used to assist in monitoring, predicting, and understanding El  Niño and La Niña events.
In contrast, other in situ systems use mobile platforms that measure how  environmental parameters vary spatially, temporally, and geographically. For  example, the Global Ocean Observing System Argo Profiling Floats use a  free-drifting buoy system to collect data on the heat content and salinity of  the upper ocean over a predetermined depth (up to 2,000 meters) and cycle  time (10 days) as shown in figure 3. Data collected by an Argo float is  available within hours of collection, which allows for continuous monitoring of  the state of the ocean and provides data for other scientific uses, such as  weather forecasting and climate modeling, according to a NOAA official.
The agency’s ocean, coastal, and Great Lakes observing systems gather a  broad range of data that NOAA uses to create a variety of products. In some  cases, NOAA prepares products directly from data from an individual  observing system and, in other cases, the agency prepares products by  combining and analyzing data from a number of observing systems. Some  of NOAA’s products include the following:
Forecasts and warnings. NOAA provides weather, water, and climate  forecasts and warnings for the nation, its territories, adjacent waters, and  ocean areas that are used by the private and public sectors. The  forecasts and warnings are derived from weather prediction models that  use the data collected by the ocean, coastal, and Great Lakes observing  systems. For example, the Coastal Weather Buoys observing system  measures barometric pressure, wind direction, and air and sea  temperature, and these data are used in weather prediction models to  create forecasts. In addition, data from aircraft and satellites that observe  ocean environmental parameters are used to develop severe storm and  flash flood warnings.
Scientific research. Data collected by the agency’s ocean, coastal, and  Great Lakes observing systems are used to support NOAA’s research  projects and activities. For example, the Ecosystems and Fisheries- Oceanography Coordinated Investigations observing system was  established in 1984 and collects data on ecosystem changes in the Gulf  of Alaska, Bering Sea, and Arctic Ocean. Scientists use the data to  determine how biological and physical environmental trends, such as the  loss of sea ice in the Bering Sea, are affecting Alaska’s marine  ecosystems. In addition, the observing systems that comprise the Global  Ocean Observing Systems collect long-term measurements of  environmental parameters such as sea surface temperature and ocean  current speed that can be used to help assess climate change.
Navigation tools. Navigation tools are some of NOAA’s most important  products, according to NOAA documents, because they help ensure the  safe navigation of ports and harbors. Data collected by some of NOAA’s  ocean, coastal, and Great Lakes observing systems are used to  generate nautical charts. For example, the National Ocean-Shoreline  observing system surveys the nation’s shorelines, and the Hydrographic  Surveying observing system measures, among other things, the depth  between the sea’s surface and the sea floor and the locations of  potentially hazardous obstructions. Data from both of these systems are  used to create nautical charts of coastlines and ports that are used by  ships engaged in maritime commerce. These charts are also used for  other activities, such as port and harbor maintenance.
Emergency management and response. NOAA uses its ocean,  coastal, and Great Lakes observing systems to provide data and  information that the agency uses in its emergency response and  management efforts. For example, the National Ocean Service’s  National Water Level Observation Network observing system collects  data on water levels and currents that are used to develop plans to  contain oil spills. In addition, the Office of Marine and Aviation  Operations uses its ships and aircraft to collect data on severe weather  events, such as hurricanes, and in federal disaster response efforts.
section_title: NOAA Spent about $430 Million Annually from Fiscal Year 2012 through 2014 on the Operations and Maintenance of Its Ocean, Coastal, and Great Lakes Observing Systems
paragraphs: NOAA estimates it spent approximately $430 million annually on average  to operate and maintain its ocean, coastal, and Great Lakes observing  systems in fiscal years 2012 through 2014. That amount is about 9  percent of NOAA’s total annual appropriations for these years. NOAA  provided us with estimated cost information because its budget structure  and accounting system are not designed to capture costs at the observing  system level. Of the 41 ocean, coastal, and Great Lakes observing  systems, 4 have line items in NOAA’s budget that identify the amount of  money dedicated to operating and maintaining those systems. Funding  for the other observing systems comes from the budgets of various NOAA  programs that cover multiple program activities, including the observing  systems. For example, the Sustained Ocean Observations and Monitoring  program in the Office of Oceanic and Atmospheric Research provides  funding for a variety of activities, including operating several observing  systems, such as the Global Ocean Observing System Argo Profiling Floats,  Ocean Reference Stations, and Ocean Carbon Networks, that are key  components of the Global Ocean Observing System. All of the activities  and observing systems within the Sustained Ocean Observations and  Monitoring program are funded through a single line item in the NOAA  budget, which does not identify specific amounts for each of the observing  systems.
According to NOAA’s estimated cost information, the agency’s annual  operations and maintenance costs ranged from about $22 million at the  National Marine Fisheries Service to $198 million at the Office of Marine and  Aviation Operations in fiscal year 2014 (see table 2).
The two line offices with the highest reported annual costs for their  observing systems for fiscal years 2012 through 2014 were the Office of  Marine and Aviation Operations and the National Ocean Service. For the  Office of Marine and Aviation Operations, these costs include operation and  maintenance of NOAA’s fleet of specialized ships and aircraft, including the  scientific and technical equipment they carry to collect data, according to  NOAA documentation. For example, in fiscal year 2013, NOAA’s fleet  included 16 active ships that provided 1,702 days at sea and 9 aircraft that  provided 2,503 flight hours to programs in each of NOAA’s line offices to  support observational activities needed to achieve their environmental and  scientific missions. The National Ocean Service’s costs include operating  11 ocean, coastal, and Great Lakes observing systems that collect data  NOAA describes as being essential to safe, efficient, and sustainable uses  of busy coastal areas and waterways. For example, some of these costs  were for the Hydrographic Surveying observing system that provides data  that are used primarily to develop nautical charts. The costs also included  operating and maintaining the National Water Level Observation Network  and the National Current Observation Program observing systems that  monitor tides, currents, water levels, and other environmental parameters.  The data from these systems are used to create navigational products and  provide other services.
NOAA’s estimated annual costs vary widely across the different observing  systems. In fiscal year 2014, NOAA’s costs ranged from nearly $170 million  to operate the NOAA-owned ships that collect ocean and fisheries-related  data, to $80,000 for the Ocean Acoustic Monitoring System. That system  consists of mobile underwater hydrophones in the Pacific Ocean that are  primarily used to listen for earthquakes, but they can also be used for  observing some endangered marine species. The 10 systems with the  highest estimated annual costs, as shown in table 3, together accounted for  approximately 79 percent of NOAA’s annual costs to operate and maintain  its ocean, coastal, and Great Lakes observing systems in fiscal year 2014.  The largest item in the annual operations and maintenance costs for the 10  systems varies depending on the type of observing system. For example,  most of the costs for the Global Ocean Observing System Argo Profiling  Float system are for the acquisition of new floats since deployed floats are  not retrieved for maintenance. But, for the Coastal Weather Buoys, the  major cost is labor to maintain the systems’ stations, sensors, and  instruments. For other systems, such as Fish Surveys, ship time accounts  for a majority of the annual operations costs. See appendix V for the annual  costs for each of NOAA’s 41 ocean, coastal, and Great Lakes observing  systems for fiscal years 2012 to 2014.
section_title: NOAA Has Not Taken All of the Steps It and Others Have Identified to Integrate and Improve the Cost-Effectiveness of Its Observing Systems Portfolio
paragraphs: NOAA has not developed a plan for achieving an integrated observing  system nor has it assessed whether there is unnecessary duplication in its  observing systems. NOAA has created an observing systems council to  provide a more centralized perspective on observing systems  management and is working to obtain the capability to conduct analyses to  help understand how to make its portfolio more cost-effective. However,  NOAA has not developed a methodology to consistently capture accurate  observing systems cost information for use in these analyses.
subsections: section_title: NOAA Has Not Developed a Plan for Achieving an Integrated Observing Systems Portfolio
paragraphs: In a variety of plans and reports NOAA has identified the need to move  toward an integrated observing systems portfolio. For example:
Strategic Plan for Systems Integration. This 2004 plan states that  NOAA “will manage our processes on a corporate-wide basis to include  standardizing processes and practices at the enterprise level, moving  away from the current practice of managing at the system level. We will  design and plan, engineer and develop, and control and manage at the  enterprise level as we move away from stovepipe systems and  programs.”
Buoy Recapitalization Strategic Plan. This 2009 plan, which focused  on 19 of NOAA’s in situ buoy ocean observing systems, found that  allowing individual programs within NOAA’s line offices to make portfolio  management and funding decisions has created “an ever-increasing  burden on NOAA to sustain a growing number of established systems,  while continuing to develop new and innovative ones. In addition, the  systems in the pipeline may not be the ones that NOAA deems most  critical to the achievement of its future strategy.”
2012 Implementation Plan. NOAA’s 2012 implementation plan for its  objective to produce accurate observation data identifies the need for  NOAA to integrate the planning, operation, and data management of its  observing systems.
NOAA Science Advisory Board Report. An April 2013 report from  NOAA’s Science Advisory Board found that there was room for  improvement—both in effectiveness and cost-efficiency—for NOAA  observing systems. The report said that “given the need to protect and  sustain resilient coastal communities, the absence of an integrated  coastal observation system is a matter of particular concern.”
Our previous work has found that, in developing new initiatives, federal  agencies can benefit from following leading practices for strategic planning.  Taking steps toward managing NOAA’s observing systems as an integrated  portfolio is a significant initiative for NOAA. The Government Performance  and Results Act of 1993 (GPRA), as amended by the GPRA Modernization  Act of 2010, was enacted to improve the efficiency and accountability of  federal programs, among other purposes.The act, as amended, requires,  among other things, that federal agencies develop long-term strategic plans  that include agency-wide goals and strategies for achieving those goals. We  have reported that these requirements also can serve as leading practices at  lower levels within federal agencies, such as at NOAA, to assist with  planning for individual programs or initiatives. Taken together, the strategic  planning elements established under the act and associated Office of  Management and Budget guidance and practices we have identified provide  a framework of leading practices in federal strategic planning. These  practices include defining a program’s or initiative’s goals, defining strategies  and identifying the resources needed to achieve the goals, and developing  and using performance measures to track progress in achieving them.
NOAA has not, however, developed a plan that sets forth a clear vision of  (1) what it wants its integrated portfolio of observing systems to look like and  how it will be managed, (2) its strategy for taking the steps necessary to  move toward this target systems architecture and management approach, or  (3) how to measure progress toward the goal of an integrated observing  systems portfolio. A NOAA official told us that the 2004 strategic plan for  systems integration is not being used to guide its current systems integration  efforts, and no other integration plan exists. One of the actions identified in  the 2004 strategic plan was the development of a NOAA observing systems  architecture master plan. This plan would “allow NOAA leaders to determine  which future observing and data management systems NOAA needs to  meet our users’ current and evolving environmental information  requirements.” According to a NOAA official, this plan was never  developed. One of the long-term outcomes identified by the 2012  implementation plan, to be accomplished between fiscal years 2014 and  2018, is the development of a plan for an integrated observing system  portfolio that meets the full range of needs of NOAA’s strategic objectives. A  NOAA official also told us that they are not working on developing this  observing systems integration plan. Instead, the NOAA official said the  agency has focused on taking tangible actions. For example, the agency  established an observing systems council to provide a more centralized  perspective on observing systems management. However, without a plan  describing what NOAA’s integrated observing systems portfolio should look  like and how it will be managed, a strategy for moving toward this target  architecture and management approach, and performance measures related  to systems integration, NOAA cannot be assured that it has established a  framework to effectively guide and assess the success of its observing  systems integration efforts and for its stakeholders to track the agency’s  efforts and hold it accountable. In addition, without a detailed plan and  performance measures, NOAA could waste resources, time, and effort in a  constrained budget environment, pursuing activities that may not prove  effective in creating an integrated observing systems portfolio.
section_title: NOAA Has Not Assessed Whether There Is Unnecessary Duplication in Its Observing Systems Portfolio
paragraphs: Since 2010, some NOAA planning documents have identified the need to  reduce systems costs by eliminating unnecessary duplication. For  example, one of the agency-wide objectives in NOAA’s 2010 strategic plan  was to collect accurate and reliable data through a sustained and integrated  observing system. The plan said that pursuing this objective would include  reducing the costs of observations through, among other things, “reducing  unnecessarily duplicative capabilities.” Similarly, NOAA’s 2012  implementation plan for its objective to produce accurate observation data  included as a short-term outcome “educed, consolidated, and/or closed  observing sites and sensors based on quality and utility of observations  supporting all NOAA needs.” NOAA officials did not, however, provide  documentation of any observing sites that have been reduced, consolidated,  or closed since the agency developed the 2012 implementation plan even  though these outcomes were to be accomplished in fiscal years 2012 or  2013.
Although NOAA documents have indicated a need for the agency to reduce  unnecessary duplication in observing systems capabilities, NOAA officials  we spoke with said they were not aware of any duplication in the geographic  distribution of NOAA’s ocean, coastal, and Great Lakes observing systems  or of unnecessarily duplicative data being collected. One official said that  given the vastness of the ocean environment, NOAA’s observing systems  were more likely under-sampling than over-sampling.  In addition, officials  we spoke with said the agency had not identified any unnecessary  duplication in the data collected by its observing systems portfolio. NOAA  officials could not, however, provide documentation of any analyses that  NOAA has conducted to support its conclusion that unnecessary duplication  does not exist in the data collected by its ocean, coastal, and Great Lakes  observing systems. NOAA officials said the agency’s existing analytical tools  have limited ability to determine whether there is duplication in the data  collected by its observing systems.
In our analysis of the 75 environmental parameters measured by NOAA’s  ocean, coastal, and Great Lakes observing systems, we identified several  parameters that are measured by multiple observing systems, suggesting  the potential for unnecessary duplication in the data being collected. For  example, as shown in table 4, 21 observing systems, including at least 1  system operated by each of NOAA’s line offices, currently collect data on  sea surface temperature. Not all of these systems may need to collect sea  surface temperature data to meet the needs of NOAA’s programs. However,  according to NOAA officials, there are a variety of reasons why multiple  observing systems might measure the same parameters. First, the systems  may all be collecting data, such as sea surface temperature, in different  locations. Second, in some situations, collecting data on the same  environmental parameter is done purposefully to maintain continuity of data  collection in the event that one system failed. Third, different observing  systems may collect data on the same environmental parameter but at  different times or with different degrees of accuracy. While one or more of  these reasons, or some other reasons, may be why 21 observing systems  collect data on sea surface temperature, NOAA officials could not provide  analysis or documentation to show that unnecessary duplication does not  exist. NOAA officials told us they do not believe unnecessary duplication in  data collection in the agency’s observing systems portfolio is a significant  problem requiring further analysis. However, without analyzing whether  there is unnecessary duplication or opportunities to reduce or consolidate  observations, NOAA would not know if there were opportunities to achieve  cost savings.
section_title: NOAA Has Created a Council to Help Integrate the Management of Its Observing Systems Portfolio
paragraphs: NOAA’s 2002 agency-wide review recommended the development of a  “cross-cut team” to centrally plan and integrate the management of its  observing system portfolio. In response to the recommendation, the  agency created the NOAA Observing System Council (NOSC), which held  its first meeting in July 2003. The NOSC consists of representatives from  each of the six line offices, the Office of Marine and Aviation Operations,  the Chief Financial Officer, and the Chief Information Officer. The  Assistant Secretary of Commerce for Environmental Observation and  Prediction chairs the NOSC, with support provided by three vice chairs.  The purpose of the NOSC is to provide a more centralized, agency-wide  perspective on the management of NOAA’s observing systems. However,  according to NOAA officials, individual programs within NOAA’s line offices  are still responsible for operating and managing their observing systems.
According to NOAA officials and documents, the NOSC coordinates all of  the agency’s observing systems portfolio and data management activities  and provides recommendations to the NOAA Executive Council on  observing system investments. For example, in 2009, the NOSC appointed  a team, with representation from each line and one staff office, to review  analyses of 25 alternatives related to NOAA’s observing system portfolio.  The team recommended whether the various options should or should not  be funded. For example, the team recommended funding to expand annual  fish surveys that provide data for fish stock assessments conducted by the  National Marine Fisheries Service, in part, because the assessments were  both a line office and agency priority. According to NOAA documentation,  NOAA’s Program Analysis and Evaluation Office planned to use the team’s  recommendations as part of the agency’s planning and budgeting process  for fiscal years 2013 through 2017.
The NOSC, in 2004, established the Technology, Planning and Integration  for Observation (TPIO) program office to assist in conducting technical  analyses to support the NOSC’s recommendations to NOAA leadership on  integrating and improving the cost-effectiveness of the agency’s observing  system portfolio. According to NOAA documentation, TPIO identifies: (1)  NOAA’s observation requirements, (2) NOAA’s observing system and data  management capabilities, (3) gaps between observation requirements and  capabilities, and (4) observing system and data management solutions to  fulfill NOAA’s observational requirements. For example, in 2011, TPIO  conducted an analysis of observational needs for six of NOAA’s high priority  program areas, including fisheries management and tide and current data.  Specifically, the analysis examined the effect to the programs if NOAA no  longer collected data on key observational requirements. For example,  TPIO’s analysis found that four observing systems collect data on key  requirements related to tides and currents and, if these systems were no  longer funded, key data on these requirements would no longer be available.  The purpose of the analysis was to provide an agency-wide perspective to  NOAA leadership on which high-priority programs were critical to fund in an  increasingly constrained fiscal environment. NOAA officials told us this  particular analysis was only conducted once as the agency decided to invest  in other analytical tools to assist with its decision making.
In 2009, the NOSC formed a subcommittee—the Observing Systems  Committee—consisting of representatives from NOAA’s line and staff  offices. According to NOAA documentation, the Observing Systems  Committee’s purpose is to conduct analyses of the current observing  systems portfolio and provide recommendations to the NOSC for changes in  the configuration of the portfolio to maximize its benefits. For example,  according to NOAA officials, one of the Observing Systems Committee’s first  activities was to develop the criteria to identify NOAA’s “observing systems- of-record.” Observing systems-of-record are those systems that the agency  deems necessary to meet its mission and receive sustained funding. As of  2014, the Observing Systems Committee has identified 108 observing  systems of record, which includes nearly all of the 41 ocean, coastal, and  Great Lakes systems we identified.
The NOSC also established a second subcommittee in 2009—the  Environmental Data Management Committee—which includes members  from each line office and the Office of Marine and Aviation Operations. This  subcommittee (1) coordinates the development of NOAA’s data  management strategy related to its observing systems, (2) provides  guidance to promote consistent implementation across NOAA, and (3)  identifies opportunities to improve the usability of its data. For example, in  response to a recommendation from NOAA’s Science Advisory Board, in  2013 the committee developed an agency-wide environmental data  management framework that defines the policies, requirements, activities,  and technical considerations relevant to the management of NOAA’s  observational data and products.
section_title: NOAA Is Working to Develop Analytical Capabilities to Improve the Cost-Effectiveness of Its Observing Systems but Has Not Developed a Methodology to Consistently Capture Cost Information
paragraphs: To enhance NOAA’s ability to understand and make cost-effective  management decisions for its entire observing system portfolio, of which the  ocean, coastal, and Great Lakes observing systems are a part, the agency  has developed some analytical tools:
NOAA Observing System Architecture database. The database,  initially created in 2003, provides a comprehensive list of NOAA’s  observing systems and their capabilities. Currently, the NOAA Observing  System Architecture database includes documentation on more than 200  observing systems that are operational, planned, in development, used  for research purposes, retired, or canceled. About half of the systems  are associated with other federal agencies, states and localities, the  commercial sector, or foreign countries. NOAA includes these systems in  the database because they are deemed important to the agency’s  mission, according to NOAA officials. TPIO is responsible for updating  and managing the database and uses it to analyze NOAA’s observing  system capabilities. In 2008 and 2009, TPIO used the database to help  prepare analyses to support observing system investment decisions. For  example, TPIO examined whether to fund additional aerial data  collection for shoreline and coastal areas for use in nautical maps.
Consolidated Observation Requirements List. The NOSC developed  this database in 2003 to create a more formalized process for NOAA to  identify, collect, document, and update its observational needs and  requirements. After a line office has identified the environmental  parameters that it believes need to be measured, it assigns each one a  priority level. TPIO and the line office then initiate a validation process  for those observing requirements identified as priority-1. According to  NOAA documentation, the purpose of the validation process is to confirm  that a program needs to observe a specific environmental parameter.  After the NOSC reviews and concurs with the validated observation  requirement, it is added to the database. NOAA officials told us the  database now contains information on more than 1,000 validated  observation requirements. NOAA officials said the agency still needs to  document the observing requirements for about 15 percent of the  agency’s ocean and coastal programs. According to NOAA officials, they  use the Consolidated Observation Requirements List and the NOAA  Observing System Architecture databases as analytical tools to help  focus their investment decisions on high-priority observation  requirements. For example, TPIO can compare observational  capabilities listed in the system architecture database with observational  requirements listed in the requirements list database to identify gaps  between capabilities and requirements.
NOAA Observing Systems Integrated Analysis. The NOAA Observing  Systems Integrated Analysis model is a tool intended to help compare  the cost-effectiveness of the agency’s observing systems in obtaining  mission-critical data and to inform investment decisions. Two external  reviews conducted in 2010 at the request of NOAA found that the  agency had developed tools such as the NOAA Observing Systems  Architecture and Consolidated Observation Requirements List  databases, but there was no mechanism to evaluate the observing  systems portfolio agency-wide. As a result, NOAA developed a pilot  integrated analysis model, known as NOSIA-I, which was completed in  December 2011. The NOSC, in March 2012, decided to expand the pilot  model so it could analyze the agency’s entire observing systems portfolio  including operational observing systems and satellites under  development. As of September 2014, the expanded model (NOSIA-II) is  still in development but, according to NOAA officials, it is expected to be  fully operational by August 2015. The expanded model includes  information on NOAA’s strategic goals and objectives, key products,  qualitative performance ratings of the observing systems, and their  costs. According to NOAA officials, the cost information is important  because it will be used in analyses to help inform management decisions  on observing system investments. For example, NOAA could use it to  show different ways that the agency could absorb a 5 percent budget cut  for its observing systems and how best to allocate those cuts to still allow  the agency to meet its mission.
However, the two external reviews conducted in 2010 identified concerns  with the quality of the cost information NOAA collected on its observing  systems. Specifically:
One review found that NOAA does not have guidance on how to capture  costs associated with its observing systems and has limited  documentation to support its reported observing systems costs. It also  found a major weakness in the apparent lack of any formal, documented  process for preparing and reporting observing system costs. Based on  their assessment, the reviewers were concerned that there was a low  level of consistency in observing system cost information across line  offices.
The other review similarly found (1) accurate cost data for NOAA’s  observing systems appeared very difficult to determine due to  accounting differences and no standard process for how to record and  report the data within programs and (2) a lack of consistency in what  programs included in their observing system costs. The review  concluded that more work was needed to improve the quality and  accounting of costs for NOAA’s observing systems.
NOAA documents have also recognized the need for accurate cost  information for its observing systems in order to assess the cost- effectiveness of its portfolio. For example, NOAA’s 2012 implementation  plan for its objective to collect accurate observation data states that “it is  critical that NOAA have the capability to determine the optimum portfolio of  observing systems that enable it to accomplish its mission in the most cost- effective, efficient, and economic manner possible.” The implementation  plan further stated that it is critical that NOAA’s Chief Financial Officer  develop a standardized methodology for obtaining accurate cost information  to support investment analyses and to improve the cost-effectiveness of  NOAA’s observing systems portfolio. Specifically, according to NOAA  documents, it is important that the NOAA Observing Systems Integrated  Analysis model include accurate, consistent, and up-to-date cost information  on all of NOAA’s individual observing systems. Without reliable, consistent  cost data, comparisons of the cost-effectiveness of various systems would  not be accurate. However, in a 2013 presentation on the status of the  development of the model, TPIO noted that observing system cost data  needs to be improved and is likely the weakest component of the model.
NOAA has taken limited steps to improve the quality of these data. Officials  from the Office of the Chief Financial Officer told us they were not working  on developing the methodology identified in NOAA’s 2012 implementation  plan. The officials told us they do not have the technical expertise and  knowledge of the operational requirements of the observing systems to  develop this methodology, and suggested it should be done through the  NOSC. TPIO officials told us they do not have in-house expertise in this  area, and that is why the implementation plan delegated this responsibility to  the NOAA Chief Financial Officer. TPIO officials said that earlier this year  they had informal discussions with the staff from NOAA’s budget and finance  offices to address the need for a standardized methodology for estimating  the costs of its observing systems. According to NOAA officials, the NOAA  Chief Financial Officer has since asked a committee to explore developing a  better method for tracking observing system costs though no time frame for  doing so has been established. Without accurate, consistent, and reliable  cost information, the observing system integrated analysis model will not  provide decision makers with the best information to make decisions  regarding investment trade-offs and to improve the cost-effectiveness of  NOAA’s observing systems portfolio.
section_title: Conclusions
paragraphs: NOAA has identified a need to better integrate and improve the cost- effectiveness of its portfolio of observing systems, including ocean,  coastal, and Great Lakes systems. The agency has taken some positive  steps toward integrating its portfolio, such as creating an observing  systems council to provide a more centralized, agency-wide perspective  on the management of its observing systems and developing databases  that catalogue the agency’s observing requirements and capabilities. The  agency has not, however, developed a plan for systems integration that  identifies what it wants the portfolio of observing systems to look like in  the future and includes ways for NOAA to measure and track its progress  toward its goals. Without such a plan, NOAA does not have a detailed,  transparent framework to effectively guide and assess the success of its  observing systems integration efforts, and it will be difficult for  stakeholders to hold the agency accountable for meeting its integration  goals. Also, because NOAA has not assessed whether there is  unnecessary duplication in its observing systems portfolio, the agency  may be missing opportunities to reduce duplication and achieve cost  savings. Finally, NOAA does not have consistent, reliable information on  the costs associated with operating and maintaining each of its observing  systems. This will make it difficult for NOAA to use its observing systems  integrated analysis model to produce accurate comparisons of the cost- effectiveness of its observing systems or provide decision makers with  the best information for making informed investment decisions.
section_title: Recommendations for Executive Action
paragraphs: To help strengthen the management and cost-effectiveness of NOAA’s  observing systems portfolio, including ocean, coastal, and Great Lakes  systems, we recommend that the Secretary of Commerce direct the  NOAA Administrator to take the following three actions:
Develop a plan for observing systems integration that includes a description of what an integrated portfolio of observing systems will  include and achieve and how it will be managed,  the steps necessary to move toward an integrated portfolio of  observing systems, and how to measure progress toward the goal of an integrated observing  systems portfolio.
Analyze the extent to which unnecessary duplication exists in NOAA’s  portfolio of observing systems.
Develop a standardized methodology for the routine preparation and  reporting of observing systems cost data.
section_title: Agency Comments and Our Evaluation
paragraphs: We provided a draft of this report to the Department of Commerce for  comment. In its written comments, (reproduced in appendix VI), NOAA,  providing comments on behalf of Commerce, generally agreed with our  recommendations. In commenting on the recommendation that NOAA  develop a plan for observing systems integration, NOAA’s response focused  on the 41 ocean, coastal, and Great Lakes observing systems identified in  the report and acknowledged there is no single observing plan for these  systems. NOAA listed existing observing plans for several of its ocean,  coastal, and Great Lakes observing systems and said it plans to build off of  these and other existing documents to explore the feasibility of enacting this  recommendation. From NOAA’s response, it appears the agency believes  that our recommendation was directed only at its 41 ocean, coastal, and  Great Lakes observing systems. This is not the case. NOAA does not  manage the 41 ocean, coastal, and Great Lakes observing systems as a  separate portfolio and we are not recommending that they do so. Rather, we  recommended that NOAA develop a plan for integrating the agency’s entire  observing systems portfolio, including the ocean, coastal, and Great Lakes  observing systems. In response to the recommendation that NOAA analyze  the extent to which unnecessary duplication exists in NOAA’s portfolio of  observing systems, NOAA acknowledged a continued need to do so and  said it has taken steps in this regard with the development of the NOAA  Observing Systems Integrated Analysis model. In response to our  recommendation that NOAA develop a standardized methodology for the  routine preparation and reporting of observing systems cost data, NOAA  said that it agrees with this recommendation and has already begun talks to  address how its accounting system could collect and report cost data for all  observing systems of record.
NOAA also provided three general comments. First, NOAA said that the title  of the report should refer to NOAA’s ocean, coastal, and Great Lakes  observing systems, since that was the original scope of our study. While two  of the report’s objectives address only ocean, coastal, and Great Lakes  observing systems, the third objective examines the extent to which NOAA  has taken steps to integrate and improve the cost-effectiveness of its  portfolio of observing systems, including ocean, coastal, and Great Lakes  systems.  Our recommendations address the third objective and  consequently we believe the report title is both accurate and appropriate.  Second, NOAA said that it has long seen the need for an integrated and  cost-effective observing systems portfolio, which is vital to maximizing the  benefits of ocean, coastal, and Great Lakes information for the nation.  NOAA said it has dedicated a large effort over the past decade to  systematically develop management structures as well as tools to address  these issues.  We agree that NOAA has developed management structures  and tools and the report includes examples of both. Third, NOAA said that  the fact that key parameters, such as temperature, are measured by multiple  observing systems is not in itself an indicator of potential duplication. We  agree. However, our report noted that multiple systems measuring the same  parameter suggested the potential for unnecessary duplication and we  recommended that NOAA analyze the extent to which unnecessary  duplication exists in its portfolio of observing systems. NOAA also provided  technical comments that we incorporated into the report as appropriate.
We are sending copies of this report to the appropriate congressional  committees, the Secretary of Commerce, the NOAA Administrator, and other  interested parties. In addition, the report is available at no charge on the  GAO website at http://www.gao.gov.
If you or your staff members have any questions about this report, please  contact me at (202) 512-3841 or fennella@gao.gov. Contact points for our  Office of Congressional Relations and Public Affairs may be found on the  last page of this report. Key contributors to this report are listed in appendix  VII.
section_title: Appendix I: Objectives, Scope, and Methodology
paragraphs: This report (1) identifies and describes the ocean, coastal, and Great Lakes  observing systems the National Oceanic and Atmospheric Administration’s  (NOAA) operates, (2) identifies the annual operations and maintenance  costs of these systems for fiscal years 2012 through 2014, and (3) examines  the extent to which NOAA has taken steps to integrate and improve the cost- effectiveness of its portfolio of observing systems, including ocean, coastal,  and Great Lakes systems.
To identify which of NOAA’s observing systems collect data on oceans,  coasts, and the Great Lakes,  we first identified a list of environmental  variables, known as “parameters” related to the ocean, coast, and Great  Lakes. After consulting with NOAA officials, we determined that National  Aeronautics and Space Administration’s Global Change Master Directory  contained the federal government’s most complete list of these  environmental parameters. The directory is a Web-based catalogue that we  accessed in October 2013 to identify the 74 environmental parameters it  contained related to the oceans, coasts, and Great Lakes. For example, the  environmental parameters we identified included wave direction, sea level,  salinity, and ocean temperature. In addition, we also identified another  environmental parameter, stock assessment, based on NOAA  documentation and interviews with NOAA officials. Our final number of  environmental parameters related to NOAA’s ocean, coastal, and Great  Lakes observing systems totaled 75. See appendix II for a list of the 75  environmental parameters we identified.
We then reviewed all of the systems that make up NOAA’s observing  systems portfolio, as captured in its observing system architecture database,  to identify which ones collect data on at least one of the 75 environmental  parameters. This review identified 47 ocean, coastal, and Great Lakes  observing systems. To obtain our final list of 41 systems, we excluded  observing systems that, according to NOAA documentation, are not yet  deployed or collect data for short-term, limited-scope research experiments.  If NOAA’s documentation was unclear for a specific observing system, we  spoke with the NOAA officials responsible for the system to determine  whether the system was operational. The observing systems we excluded  were (1) Joint Polar Satellite System, (2) Geostationary Operational  Environmental Satellite I-P, (3) Marine Sound, (4) Jason Ocean Surface  Topography Mission 3, (4) Autonomous Underwater Vehicles, (5)  Unmanned Aerial System, and (6) Animal Borne Tagging and Bar Code. We  provided the list of ocean, coastal, and Great Lakes observing systems we  identified with NOAA officials for their review and comment and incorporated  their views into our final list as appropriate. See appendix III for an  alphabetized list of the 41 NOAA ocean, coastal, and Great Lakes observing  systems we identified.
To obtain descriptive information about the systems we identified, we  reviewed agency documentation, including NOAA’s observing system  summary reports, budget summaries, and agency reports and  presentations. We also interviewed NOAA officials, such as the principal  investigators for individual observing systems, program managers that  oversee more than one observing system, or line office officials familiar with  the observing systems operated and maintained by their offices. We  provided our descriptions of NOAA’s ocean, coastal, and Great Lakes  observing systems with NOAA officials for their review and comment and  incorporated their views into our final descriptions as appropriate. See  appendix IV for a list and descriptions of the observing systems organized  by the office that manages them.
To identify NOAA’s annual costs to operate and maintain its ocean, coastal,  and Great Lakes observing systems, we asked NOAA officials to provide  cost data for these systems. In response, NOAA officials explained that this  information is not readily available as the agency does not routinely collect  data on observing system operation and maintenance costs in the ordinary  course of business. They indicated that the most recent and best available  observing system cost data were collected in 2013 by its Technology,  Planning and Integration for Observation (TPIO) office for use in NOAA’s  Observing Systems Integrated Analysis model. To collect the data, TPIO  developed a spreadsheet template that requested specific cost information  in a particular format. TPIO sent the template to each line office and asked  them to provide annual costs for their observing systems for fiscal years  2012 through 2014. TPIO officials told us they intended the cost information  they requested from the line office to be actual expenditures for fiscal years  2012 and 2013 and estimates for costs in fiscal year 2014 based on  amounts in the 2014 presidential budget request. However, they said the  observing systems costs reported by the line offices for fiscal years 2012  and 2013 are estimates because NOAA’s budget structure and accounting  systems are not set up to track actual spending at the observing system  level.
According to TPIO officials, the cost information provided by the line offices  was not reviewed by TPIO or the Chief Financial Officers for each of the line  offices prior to being entered into a database. After we requested the  observing systems cost information TPIO had collected, NOAA’s Budget  Office requested the data be reviewed to assess the accuracy of the  information prior to releasing it to us. According to NOAA budget officials,  they asked program managers to review the data they reported to TPIO for  their respective observing systems and they asked each of the line office  Chief Financial Officers to review the combined costs for the observing  systems operated by their line offices. The purpose of the review was to  verify that the cost information NOAA was providing to us accurately  represented the information that had been reported to TPIO. The line office  Chief Financial Officers also evaluated whether the costs were consistent  with the program’s budget allocation based on NOAA’s appropriation levels  for the fiscal years covered by the request. According to NOAA officials, the  review resulted in mostly minor adjustments to the cost information originally  collected by TPIO, and the information we received was the most accurate  cost information NOAA has for its ocean, coastal, and Great Lakes  observing systems portfolio.
We also took steps to assess the reliability of NOAA’s observing system cost  information by, among other things, reviewing documentation of NOAA’s  data collection procedures and interviewing agency officials, line office Chief  Financial Officers, and observing system program managers. We found the  data to be sufficiently reliable for the purpose of our report, which is to  provide a general sense of the costs for NOAA’s ocean, coastal, and Great  Lakes observing systems. While we believe the cost information are  sufficiently reliable for this purpose, they may not be sufficiently reliable for  other purposes that require more accurate cost data, such as for making  comparisons of the relative cost-effectiveness of different observing  systems. In addition, to obtain other information related to observing system  costs, we reviewed agency documents, including budget requests,  guidance, and policies, and documentation of NOAA’s managerial cost  accounting system. We also interviewed NOAA headquarters and line office  officials about NOAA’s budget structure and cost accounting practices. See  appendix V for the annual costs of each of NOAA’s 41 ocean, coastal, and  Great Lakes observing systems for fiscal years 2012 to 2014.
To determine the extent to which NOAA has taken steps to integrate and  improve the cost-effectiveness of its portfolio of observing systems, including  ocean, coastal, and Great Lakes systems, we reviewed agency documents  and interviewed NOAA officials responsible for implementing the agency’s  observing systems management activities. Specifically, we reviewed plans  related to managing the agency’s observing systems portfolio, such as a  2004 strategic plan for system integration and plans related to implementing  aspects of NOAA’s 2010 next generation strategic plan. In addition, we  reviewed internal NOAA reports and external reviews that identified  opportunities to improve the management and integration of the agency’s  observing system portfolio. We interviewed officials in NOAA’s six line  offices and in the one staff office that operates and maintains observing  systems. In these interviews, we discussed the offices’ approaches to  managing their observing systems, their budgeting processes, and NOAA’s  efforts to integrate its observing systems portfolio. We also interviewed  officials on NOAA’s Observing Systems Council about their efforts to create  a more integrated, cost-effective observing systems portfolio and from TPIO  about their development of analytical tools to support the agency’s observing  system integration efforts. In addition, we reviewed GAO’s work on strategic  planning and performance measurement to identify leading practices in  these areas. We also reviewed Office of Management and Budget (OMB)  guidance to identify leading practices in planning and management.
We conducted this performance audit from September 2013 to November  2014 in accordance with generally accepted government auditing standards.  Those standards require that we plan and perform the audit to obtain  sufficient, appropriate evidence to provide a reasonable basis for our  findings and conclusions based on our audit objectives. We believe that the  evidence obtained provides a reasonable basis for our findings and  conclusions based on our audit objectives.
section_title: Appendix II: GAO Identified Ocean and Coastal Environmental Parameters
paragraphs: Appendix II: GAO Identified Ocean and Coastal  Environmental Parameters 1.  2.  3.  4.  5.  6.  7.  8.  9.  10.  11.  12.  13.  14.  15.  16.  17.  18.  19.  20.  21.  22.  23.  24.  25.  26.  27.  28.  29.  30.  31.  32.  33.  34.  35.  36.  37.  38.  39.  40.
Ambient Noise: Biological  Ambient Noise: Total  Atmospheric Pressure: Sea Level  Bathymetry  Buoy Support  Carbon Dioxide: Partial Pressure  Carbon Dioxide: Profiles  Carbon Dioxide: Surface  Carbon: Profiles  Chlorophyll Concentration  Conductivity: Profiles  Conductivity: Surface  Convection  Coral Reef Assessment  Diffuse Attenuation Coefficient  Dissolved Gases: Oxygen  Gravity Field: Airborne  Gravity Field: Ground Based  Hydrography: Bathymetry + Water Depth  Ice Age  Ice Concentration  Ice Depth/Thickness  Ice Extent  Ice Motion: Direction  Ice Motion: Speed  Ice Origin  Ice Temperature  Ice Topography  Marine Debris Removal  Net Heat Flux  Nitrate Particles: Profiles  Nitrate Particles: Surface  Nitrogen Oxides: Profiles  Nitrogen Oxides: Surface  Nutrients: Profiles  Nutrients: Surface  Ocean Color  Ocean Color: Turbidity  Ocean Contaminants  Ocean Currents Subsurface  41.  42.  43.  44.  45.  46.  47.  48.  49.  50.  51.  52.  53.  54.  55.  56.  57.  58.  59.  60.  61.  62.  63.  64.  65.  66.  67.  68.  69.  70.  71.  72.  73.  74.   75.
section_title: Appendix III: Alphabetized List of National Oceanic and Atmospheric Administration’s 41 Ocean, Coastal, and Great Lakes Observing Systems and Office
paragraphs: Global Ocean Observing System Tropical Atmosphere Ocean Array  Integrated Ocean Observing System High Frequency Radars  Jason Ocean Surface Topography Mission (2, 3 & CS)
section_title: Appendix IV: National Oceanic and Atmospheric Administration’s 41 Ocean, Coastal, and Great Lakes Observing Systems by Office
subsections: section_title: Observing system managing office and name National Environmental Satellite, Data, and Information Service Geostationary Operational Environmental Satellite N/O/P
paragraphs: Initially  deployed  (fiscal  year)
This two-satellite system maintains  a constant view of the earth from  an orbit of about 22,000 miles in  space and focuses primarily on the  United States. The system provides  timely environmental data about the  earth’s atmospheric, cloud cover,  and surface conditions. The system  observes the development of  hazardous weather conditions,  such as hurricanes, and tracks their  movement and intensity to protect  life and property. The satellite  sensors also provide the capability  to detect ice fields and map the  movements of sea and lake ice.
The data are primarily used by  meteorologists for weather  observation, monitoring, and  forecasting. The data also  support improved atmospheric  science research, weather  prediction models, and  environmental sensor design and  development.
The system measures sea surface  height using a sensor mounted on  a low-earth orbiting satellite.
The data are used to model the  ocean, forecast weather events  such as El Niño and La Nina, and  predict hurricane intensity.
The system consists of a single  moored buoy deployed off the  coast of Hawaii. The system’s  primary purpose is to measure  visible and near-infrared radiation  entering and emanating from the  ocean. Measurements are taken at  the sea surface and three deeper  depths.
The data collected by the system  are used by satellite systems to  adjust their sensors that measure  ocean color. Because of their  remote location, satellites may  experience interference in their  measurements of ocean color.  This system provides data to  correct this interference.
The system uses polar-orbiting  satellites to support environmental  observations for imaging and  measuring the earth’s atmosphere,  surface, and cloud cover. The  system measures three ocean and  coastal environmental  parameters—sea surface  temperature, sea ice extent, and  coral reef assessments.
The data are processed to  provide graphical weather  images and specialized weather  products. The data are also  primary inputs into models used  for developing weather forecasts  up to 3 days in advance, and can  be used to monitor environmental  phenomena such as ozone  depletion. The data can also be  used in climate studies.
System description  The system has a joint mission to  gather data to support long-term  monitoring of climate trends and for  weather forecasts. The satellite is  equipped with five different sensors  that collect environmental data  such as ice thickness, ocean color,  and sea surface temperature.
Data uses and products  The data are used in models to  generate advance forecasts and  warnings for severe weather. The  data are also used for fisheries  and coastal zone management  and long-term monitoring of  climate trends such as El Niño.
The system is a network of buoys  in the Chesapeake Bay that collect  meteorological, oceanographic, and  water-quality data.
Data collected by the buoys are  delivered to users in real-time via  wireless technology. Users  include scientists and students  who use the data to help protect,  restore, and manage the  Chesapeake Bay. In addition, the  data are used as a resource for  boaters to alert them to boating  conditions.
The system is designed to monitor  the health and status of living  marine resources and their habitats  in Alaska and New England. The  goal of the observing system is to  characterize the changing states of  the ecosystems and forecast any  subsequent impact on fisheries  productivity. Data are collected  primarily by research ships;  however, satellites, buoys, and  other methods are also used.
The data are used for the  assessment and management of  fish species and in a wide variety  of research programs.
The system monitors the  distribution and abundance of  commercially-targeted and  ecologically-important fish species.  The surveys occur in all of the  oceans surrounding the nation;  however, the frequency of the  surveys is contingent on available  funding each year.
The data are used in models by  fishery managers to determine  the effects of fishing on fish  populations.
section_title: System description
paragraphs: Initially  deployed  (fiscal  year)
The system uses buoys to collect  data to understand the condition of,  and the processes influencing, the  nation’s coral reef ecosystems.  Since 2013, the system has been  part of the National Coral Reef  Monitoring Plan, with a goal of  monitoring the status and trends of  the country’s coral reefs.
The data are used to make better  informed and timely management  decisions related to the  conservation of coral reefs. For  example, the data are used to  model and forecast climate- related risks and vulnerabilities to  coral reefs.
The data are used to support a  variety of products including  nautical charts. The charts are  then used for port and harbor  maintenance, coastal  engineering, coastal zone  management, and resource  development offshore. surveys of the physical parameters  and waterbody features in the  nation’s coastal areas. The areas  covered by the surveys are  prioritized based on a variety of  factors, including the amount of  time elapsed since an area was  previously surveyed. The data  include information on water depth  and the nature of the sea floor,  which has implications for  anchoring, dredging, and fisheries  habitat.
This system measures the speed  and direction of ocean surface  currents in near real-time. The  radars can measure currents up to  200 kilometers offshore and can  operate under any weather  conditions. The radars are located  along both the east and west  coastlines of the United States.
The data from the radars are  used in a variety of applications  including to support pollutant  tracking, search and rescue  efforts, and management of the  country’s coastal resources.
The buoy system collects data on  ocean velocity, salinity, and  temperature to determine the  circulation along the United State’s  coasts and estuaries.
The data are used to principally  produce the National Oceanic  and Atmospheric Administration’s  (NOAA) Tidal Current Tables.  These tables predict the daily  tidal current for each location  where the data are collected. The  tables are publicly available in an  electronic format.
Data uses and products  The data are used by many  groups including researchers,  educators, and coastal  managers. For example, data  from the network of reserves is  used to help understand the  effects of climate change in the  nation’s coastal regions.
System description  The system is located in the  nation’s major coastal regions— west, northeast, Great Lakes, mid- Atlantic, southeast, Gulf of Mexico,  and Caribbean Sea—to determine  how reserve conditions, including  water quality associated  environmental parameters, are  changing in both the short-term and  long-term.  The system monitors environmental  conditions, such as water quality, at  13 marine sanctuaries. The data  are collected from a variety of  platforms, including ships and  buoys.
The data collected are used to  measure progress toward  maintaining and improving the  natural and archaeological  quality of the national marine  sanctuary system.
The system consists of two  programs—Mussel Watch and  Bioeffects—that monitor the  environmental quality of estuarine  and coastal waters throughout the  nation. Data are collected from  multiple sites along the entire  United States coastline, including  the Great Lakes.
The data are used to  characterize and assess the  environmental impact of new and  emerging contaminants and  extreme events (hurricanes and  oil spills) on the nation’s  estuarine and coastal waters.
The system is a network that has  over 200 coastal observing stations  around the United States that  collect continuous, long-term water  level observations.
The data are used primarily to  support safe navigation of the  country’s waterways by  computing tidal and water-level  datums, producing tide prediction  tables, and estimating sea-level  trends. The data are collected  and transmitted via satellite to  their users.
The system uses aircraft to collect  aerial imagery of the nation’s  coastal areas.
The data are primarily used to  produce nautical charts, which  are used for a variety of  purposes including coastal zone  management and emergency  response.
section_title: Observing system managing office and name Physical Oceanographic Real-Time System
paragraphs: System description  The system was developed to  provide accurate and reliable real- time information about  environmental conditions in  seaports. It collects data on wind,  water, and air environmental  parameters.
Data uses and products  The data are provided primarily  to ship masters and pilots in real- time to avoid groundings and  collisions in the nation’s ports.  Data on water levels, currents,  and other oceanographic  variables are available through a  variety of formats, including the  Internet.
The system is a network of  observing instruments and  platforms used by the U.S.  Integrated Ocean Observing  System program’s regional  associates to collect data on a  variety of environmental  parameters in the nation’s coastal  waters.
Data collected by the regional  associations are being integrated  with other data collected by  NOAA’s National Data Buoy  Center into a database, which  the U.S. Integrated Ocean  Observing System program plans  to make publicly available.
The data are used to produce  forecasts, warnings, and  atmospheric models. Other uses  of the data include scientific and  research programs and to assist  in emergency response to  chemical spills. that are moored at specific  locations but able to drift up to 2  miles in all directions. The buoys  are located throughout the nation’s  oceans and coastal waters.
The system has 60 stations in the  nation’s coastal zones. Its platforms  include buoys or land-based tower  stations. The system was designed  in the early 1980s in response to  the need to maintain meteorological  observations in U.S. coastal areas  that had previously been gathered  by U.S. Coast Guard personnel  stationed at lighthouses.
The data are used to produce  meteorological observations in  coastal areas and are relayed to  users at least once per hour from  the system’s platforms.
The system consists of an  anchored seafloor bottom pressure  recorder and a companion moored  surface buoy to detect tsunamis in  U.S. coastal areas.
The data are transmitted in real- time to NOAA’s Tsunami  Warning Centers via satellite.  The centers then decide which  coastal communities are in  danger and issue warnings.
Data uses and products  The data are collected to help  predict El Niño events. They are  transferred to shore in real-time  using satellites.
System description  The system is part of the  multinational Global Ocean  Observing System. It was designed  in response to an early 1980s El  Niño event, which was neither  predicted nor detected until nearly  its peak. The system collects data  on a variety of meteorological  parameters, such as wind speed,  and relative humidity, as well as  ocean current profiles and upper  ocean temperatures.
The system detects tsunami activity  around Hawaii using sea-level  gauges.
The data are used to confirm the  generation of a tsunami and to  predict locations where it may  strike.
Voluntary Observing Ship  The system uses ships, both U.S.  and internationally owned, that  voluntarily collect data on  meteorological conditions. The data  are encoded in a standardized  format and sent via satellite or radio  to services that provide marine  weather forecasts.
The data are used for a variety of  purposes, including weather  forecasts, and to help measure  extreme weather events and  long-term climate changes. The  data are also archived for future  use by climatologists and other  scientists.
section_title: Office of Marine and Aviation Operations NOAA Aircraft
paragraphs: NOAA uses its aircraft to collect  data on multiple environmental  parameters, including atmospheric  pressure and ocean temperature.
The data are used to support  global climate change studies,  assessing marine mammal  populations, surveying coastal  erosion, investigating oil spills,  flight checking aeronautical  charts, and improving hurricane  or winter storm prediction  models.
NOAA’s fleet of ships collects data  and supports federal disaster  response around the world. The  system collects data on multiple  environmental parameters,  including ocean pH and water  depth.
The data are used for  hydrographic surveys,  oceanographic research, and  fisheries research, among other  things.
section_title: Observing system managing office and name System description Office of Oceanic and Atmospheric Research Airborne Oceanographic Product
paragraphs: Initially  deployed  (fiscal  year)
The system uses aircraft to collect  data via aircraft 30 days a year in  coastal Washington state, the  Pacific Northwest, and Chesapeake  Bay on fish and the thin plankton  layer.
The data are used to support  scientific research on specific  parameters such as waves.
The data are used to understand  long-term trends in the physical  and biological state of the Arctic  Ocean. of platforms: ocean or sea ice  platforms, ships, aircraft, and land  based climate atmospheric  observatories to study  meteorological, sea ice, and  subsurface environmental  parameters in the Arctic Ocean.
The system is used in the Gulf of  Alaska, Bering Sea, and Arctic to  understand ecosystem dynamics  and the life cycle of commercially  valuable fish and shellfish stocks.
The data are used to produce  ecosystem forecasts that help  guide resource managers in  making catch share allocations to  commercial fishermen and to  mitigate the effects of climate  change on marine species and  coastal communities.
The system uses free-drifting floats  to observe the ocean’s upper 2,000  meters. The mission of the system  is to describe and understand the  physical processes responsible for  climate variability and predictability.
The data are transmitted real- time via satellites to land-based  receiving stations and are used  in weather forecasting and  climate prediction models.
The system is part of the  multinational Global Ocean  Observing System and was  designed to use drifting buoys  around the world to measure sea  surface temperature and currents  at 15 meters below the water’s  surface.
The data are used to adjust  satellite sea surface temperature  observations and provide real- time data on the structure of  global surface currents, among  other things.
The system is part of the  multinational Global Ocean  Observing System and uses fixed  platforms that are stationed on  islands and in the coastal zones  around the world to measure and  report sea-level information. The  data are transmitted in real-time  using satellites.
The data are used in multiple  NOAA missions including climate  monitoring and prediction.
Data uses and products  The data are transmitted via  satellite in near real-time and are  used for developing and  improving models of the ocean.
System description  The system is located in the  Atlantic Ocean and is part of the  multinational Global Ocean  Observing System. It is a buoy  system used to study ocean- atmosphere interactions in the  tropical Atlantic Ocean that affect  regional climate variability on  seasonal, interannual, and longer  time scales.  The system is part of the  multinational Global Ocean  Observing System. It is a buoy  system located in the Indian Ocean  that gathers data to address  scientific questions related to ocean  conditions and monsoons. The  system collects data on air  temperature, atmospheric pressure,  and the direction of ocean currents.
The data are real-time  measurements that are used in  climate research and forecasting.
The data are used to help with  forecasting long-term climate  trends.
The system obtains ocean  measurements from around the  world that contribute to NOAA’s  understanding of the carbon cycle  and is part of the multinational  Global Ocean Observing System.The system is part of the  multinational Global Ocean  Observing System and uses buoys  to maintain long-term observing  capabilities on ocean and climate  environmental parameters.
The data are transmitted by  satellites, which enables users  (scientists and the public) access  in near real-time for use in  products such as climate studies.
System description  The system uses a network of  cargo vessels, cruise ships, and  research vessels that voluntarily  collect ocean measurements by  either using NOAA supplied  instruments on specified routes or  hosting NOAA technicians onboard  to take measurements. These ships  are also the primary vehicle for  deploying NOAA’s drifting buoy  arrays, surface drifting buoys, and  Argo profiling floats, as well as  other instruments. Data are  collected on three environmental  parameters related to temperature:  air, sea, and subsurface.  The system uses arrays of  hydrophones to collect continuous  digital acoustic data for ocean  observation in the Pacific Ocean  from the Arctic to tropical locations.  The hydrophones are used  primarily to listen for earthquakes,  but can also observe icequakes,  large waves, and some marine  endangered species.
Data uses and products  The data collected are used to  produce more than 25 articles in  peer reviewed scientific  publications, scientific meeting  presentations, and a large  number of other products  associated with monitoring the  condition of the ocean.
The data are used in research  related to earthquakes and  marine endangered species.
The system is located in the Great  Lakes and collects data on multiple  environmental parameters including  water temperature, extent of ice  cover, wave direction, and turbidity.
The data are used by the  National Weather Service to help  verify its marine weather  forecasts and for fisheries  research.
The system collects continuous,  time series data on the strength of  the Atlantic Ocean meridional  overturning circulation, which  includes many currents. The  system uses submarine cables and  measurements from ships, among  others, to monitor the condition of  the currents.
The data provide the only  measurement of the strength of  the meridional overturning  circulation and are used to  improve climate forecasts.
The number of deployed platforms that are currently operational by NOAA. Some observing systems  include platforms that are operated by other countries; however; we did not include those platforms in this  table.  The El Niño Southern Oscillation is a naturally occurring phenomenon that involves fluctuating ocean  temperatures in the equatorial Pacific Ocean. The pattern generally fluctuates between two states: warmer  than normal temperatures in the central and eastern equatorial Pacific (El Niño) and cooler than normal  temperatures in the central and eastern equatorial Pacific (La Niña).    A thin plankton layer is an aggregation of phytoplankton on the ocean’s surface.
The global carbon cycle is the process by which carbon is exchanged among various systems, including  the earth's atmosphere, the oceans, geological sources of stored carbon (e.g., fossil fuels), and the  vegetation and soils of the earth's terrestrial ecosystems.
section_title: Appendix V: National Oceanic and Atmospheric Administration’s Annual Estimated Operations and Maintenance Costs for the Ocean, Coastal, and Great Lakes Observing Systems by Office for Fiscal Years 2012 through 2014
paragraphs: Observing system managing office and name   National Environmental Satellite, Data, and Information Service   Geostationary Operational Environmental Satellite N/O/P  Jason Ocean Surface Topography Mission (2,3 & CS)
NOAA’s estimated costs for fiscal years 2012 and 2013 were based on final appropriations for those  years. The estimates for fiscal year 2014 were based on the fiscal year 2014 President’s budget request.  The estimates reported for here include costs to operate and maintain the Jason-2 mission.  Development costs for the Jason-3 mission, with the operational environmental satellite scheduled to be  launched in fiscal year 2015, are not included.
The Physical Oceanographic Real-Time System is a cost-sharing program where local partners provide  funding for the sensor systems and their ongoing maintenance.
section_title: Appendix VI: Comments from the Department of Commerce
section_title: Appendix VII: GAO Contact and Staff Acknowledgments
subsections: section_title: GAO Contact
section_title: Staff Acknowledgments
paragraphs: In addition to the individual named above, Stephen D. Secrist (Assistant  Director), Cheryl Arvidson, Mark Braza, Heather Dowey, Richard Hung, Paul  Kinney, Michael Meleady, and Jeanette Soares made key contributions to  this report.