NASA 2003 Strategic Plan & Agency Strategic Overview Doug Comstock Director of Strategic Investments March 17, 2003
Budgeting for Results “What has been missing: • Past and planned results are not shown with budget requests, let alone lined in a cost-and-results relationship. • Program managers responsible for achieving results often do not control the resources they use or have flexibility to use them effectively. • Performance and cost data are recorded in separate systems and not integrated to provide timely, analytical, feedback to decision makers and managers. • Americans cannot readily assess program results, and cannot compare performance and cost across programs.” - FY03 Pres. Budget (Government-Wide Analytical Perspectives pg. 3)
NASA Response Issues: Align budget with results Managers control full resources Support decision makers Assess program results • Response: • Revise strategic plan based on new vision and mission, align plan with budget and performance through Themes. • Implement full cost accounting and full cost management. • Implement an Integrated Financial Management System • Integrate budget and performance plan into one document. • Create budget structure that supports strategic Themes. • Link Themes with accountability and results. • Reorganize HQ/Code B to integrate budget, performance, and planning.
- - The Congressional Submission The three volumes that make up the Congressional Submission are connected to the other elements of the NASA strategic management system.
Achieving the NASA Mission To Understand and Protect our Home Planet Understand the Earth system and apply Earth system science to improve prediction of climate, weather, and natural hazards. Enable a safer, more secure, efficient, and environmentally friendly air transportation system. Create a more secure world and improve the quality of life by investing in technologies and collaborating with other agencies, industry, and academia. GOAL 1 GOAL 2 GOAL 3
Achieving the NASA Mission To Explore the Universe and Search For Life Explore the fundamental principles of physics, chemistry, and biology through research in the unique natural laboratory of space. Explore the solar system and the universe beyond, understand the origin and evolution of life, and search for evidence of life elsewhere. GOAL 4 GOAL 5
Achieving the NASA Mission To Inspire the Next Generation of Explorers Inspire and motivate students to pursue careers in science, technology, engineering, and mathematics. Engage the public in shaping and sharing the experience of exploration and discovery. GOAL 6 GOAL 7
Ensure the provision of space access and improve it by increasing safety, reliability, and affordability. Extend the duration and boundaries of human space flight to create new opportunities for exploration and discovery. Enable revolutionary capabilities through new technology. Achieving the NASA Mission Space Flight Capabilities: Goals to enable the Mission GOAL 8 GOAL 9 GOAL 10
Achieving the NASA Mission … as only NASA can • NASA will pursue activities unique to our Mission in air and space: • If NASA does not do them, they won’t get done; • If others are doing them, we should question why NASA is involved; and • Programmatic and budget decisions will be aligned with our Mission.
NASA’s Core Values • Safety • NASA's Mission success starts with safety. A commitment to safety permeates everything we do. We are committed to protecting the safety and health of the general public, astronauts and pilots, and the NASA workforce, and our high-value assets on and off the ground. • People • Our greatest strength is our workforce, a team of highly qualified individuals that is representative, at all levels, of America's diversity. We foster a culture of trust, respect, teamwork, communication, creativity, equal opportunity, and empowerment. • Excellence • We are committed to excellence. We continuously improve our processes, products, and services to better serve our customers. • Integrity • We are honest and ethical in all that we do. We deliver on our commitments, and we are accountable for our performance.
Compelling Questions Drive Exploration • How did we get here? • We study the origins and evolution of the universe and the galaxies, stars, and planets within it. • We seek the building blocks of life that are preserved within our solar system and beyond. • Where are we going? • We probe the critical interactions among Earth’s atmosphere, oceans, weather, and climate—the complex systems upon which all living organisms depend. • We study how the Sun and Earth are changing, and we learn how to predict future changes. • We also develop the knowledge and capabilities for eventual human exploration of the solar system. • Are we alone? • We seek evidence of life in our solar system and of life-sustaining, Earth-like worlds around nearby stars. • We have embarked on an ambitious program to explore the planet Mars. • Our spacecraft have discovered evidence that large amounts of liquid water once flowed on the planet, and that today, it may be frozen beneath the surface.
Building Blocks Technological Barriers Ongoing Efforts New Efforts Project Prometheus • Nuclear Power and propulsion for revolutionary science and orbital capabilities • First mission to Jupiter’s moons Nuclear Systems Initiative • Greatly increased power for space science and exploration Power: Providing ample power for propulsion and science Transportation: Providing safe, reliable, and economical transportation to and from space, and throughout the solar system Human Capabilities: Understanding and overcoming human limitations in space Communications: Providing efficient data transfer across the solar system Integrated Space Transportation Plan • Orbital Space Plane • Extended Shuttle operations • Next-generation launch systems Human Research Initiative • Accelerate research to expand capabilities • Enable 100+ day missions beyond low-Earth orbit In-Space Propulsion Program • Efficient solar system transportation Optical Communications • Vastly improved communication transform science capability • First demonstration from Mars Space Station Restructuring • Research priority focused • Management reforms • Sound financial base Bioastronautics Program • Roadmap to address human limitations New Building Block InvestmentsOvercoming Barriers that Constrain Research and Discovery
Robust Strategy for Scientific Discovery:Stepping Stones to Human and Robotic Exploration
All investments will contribute to our goals and traceable to the Vision and Mission Every NASA program and project must be relevant to one or more of the goals, with measurable performance Human space flight capabilities will be expanded to enable research and discovery Continue to expand human presence in space as a means to further the goals of exploration, research, and discovery Technology developments will be crosscutting Such as: propulsion, power, computation, communications, and information technologies. Education and inspiration will be an integral part of all our programs Create a new NASA Enterprise and track performance of our education programs like that of any other NASA activity We will operate as in pursuit of our Vision and Mission Reinforce the shared commitment of all NASA employees to our common goals As Only NASA Can Pursue activities unique to our Mission -- if NASA does not do them, they will not get done -- if others are doing them, we should question why NASA is involved ONE Transforming NASA:Strategy for Change
Implementing Strategies • Achieve management and institutional excellence comparable to NASA’s technical excellence; • Demonstrate NASA leadership in the use of information technologies; • Enhance NASA’s core engineering, management, and scientific capabilities and processes to ensure safety and mission success, increase performance, and reduce cost; • Ensure that all NASA work environments, on Earth and in space, are safe, healthy, environmentally sound, and secure; and • Manage risk and cost to ensure success and provide the greatest value to the American public.
ONE The Strategic Organization SCIENCE, AERONAUTICS, AND EXPLORATION SPACE FLIGHT CAPABILITIES Space Science Earth Science Biological and Physical Research Crosscutting Technology Space Flight Primary contribution to a Goal Supporting contribution to a Goal Rsrch Part’ps & Flight Support Themes Struct. & Evolut’n of the Universe Mission & Sci. Measurem’t Tech. Astronomical Search for Origins Innovative Tech. Trans. Part’ps Biological Sciences Research Physical Sciences Research International Space Station Earth Science Applications Space and Flight Support Solar System Exploration Aeronautics Technology Space Launch Initiative Earth System Science Sun Earth Connection Education Programs Mars Exploration Space Shuttle Goals 1 Understand the Earth system … Understand & protect 2 Enable a safer, more secure, … air transportation system. MISSION 3 Create a more secure world … 4 Explore the fundamental principles … in … space. MISSION Explore 5 Explore the solar system … 6 Inspire and motivate students … Inspire MISSION 7 Engage the public … Ensure the provision of space access … 8 ENABLING GOALS 9 Extend … human space flight … 10 Enable revolutionary capabilities …
The Strategic Organization: Legend To find the performance commitment of a particular Theme, follow its vertical path. To identify all the “One NASA” contributions to a particular strategic goal, follow its horizontal path. At this intersection, a Theme has a strategic objective defining its contribution to this goal, or plays a supporting role with accountability for performance through specific annual performance goals.
The Integrated Document Multiple documents from FY2003 and before are now one FY2004 Integrated Budget and Performance Document (IBPD). Life Cycle Cost Data (300B’s) NASA Perf. Plan NASA Budget Request Internal Program Commitment Agreements 2003 NASA Budget Request 2004 • More detail, including mission life-cycle cost. • Will be used by Agency managers as a signed commitment agreement.
The New Budget Structure • Two Appropriations(Plus the Inspector General) • Science, Aeronautics, and Exploration • Space Flight Capabilities • Level 1 = Mission-Driven Enterprise • Level 2 = Theme • Level 3 = Major Category • Development • Operations • Research • Technology & Advanced Concepts • Level 4 = Major Category Components Themes are used to tie Strategic Goals and Objectives to a budget investment. The type of budget and performance commitment is based on the type of Major Category. In development, the theme is committed to and held accountable for cost and schedule performance. An advanced concept, on the other hand, is still formulating its total cost and schedule.
The Table of Contents The new budget structure drives the organization of the integrated budget and performance document. NASA Budget Request • Agency Summary • Organized by Appropriation in 18 Level 2 “Themes” : • Strategic goals and objectives • Relevance • Implementation strategy • Performance Data sheet for each of ~90 Level 3 “Major Category”: • Purpose • Technical commitment • Independent Reviews • Acquisition strategy, performing orgs, agreements, risk • Statistical and Analytical Perspectives: • Center, salary & benefits, facilities, and other budget breakouts • Transition to Full Cost • President’s Management Agenda, GAO Issues • Historical Data Summary 30 pages ~80 pages (18 x 4 pg ea) ~200 pages (93 x 2+ pg ea) ~100 pages Theme Development Operations Research Data Sheets Tech & A.C. Perspectives
The Benefits • There are fewer, more informative pages. • Reduced chance of discrepancy between documents • Uniformity of information across programs • Concise detail about a program’s schedule, acquisition strategy, and technical commitments is presented in one place. • Additional information available via WWW links in the document. • The same structure is used across all documentation • Strategic Plan, Budget Request, Performance Plan, Performance Report, and Accountability Report. • The performance of strategic investments can be directly measured because the investment will be explicitly tracked under one name.
Features: Basic construct created since Space Station Freedom redesign in 1993 Emphasizes split between human and science. Budget Structure: FY2003 Appropriations HUMAN SPACE FLIGHT International Space Station Space Shuttle Payload and ELV Support HEDS Invest. and Support Space Comm. & Data Sys. SCIENCE, AERO, & TECH Space Science Earth Science Bio. & Physical Research Aerospace Technology Academic Programs INSPECTOR GENERAL
Features: Matches 2003 Strategic Plan Renames Appropriation Accounts Emphasizes Mission-driven activities and capabilities Budget Structure: FY2004 Appropriations SCIENCE, AERONAUTICS, AND EXPLORATION Space Science Earth Science Bio & Physical Research Aeronautics Education Programs Mission Driven SPACE FLIGHT CAPABILITIES Space Flight Crosscutting Technology Enabling INSPECTOR GENERAL
Budget Structure: Theme Areas SCIENCE, AERONAUTICS, AND EXPLORATION SPACE FLIGHT CAPABILITIES SPACE SCIENCE Solar System Exploration Mars Exploration Program Astronomical Search for Origins Structure and Evolution of the Universe Sun Earth Connections AERONAUTICS Aeronautics Technology EARTH SCIENCE Earth System Science Earth Science Applications BIO. & PHYS. RSRCH Biological Sciences Research Physical Sciences Research Research Partnerships and Flight Support EDUCATION Education Programs SPACE FLIGHT International Space Station Space Shuttle Program Space and flight Support CROSSCUTTING TECHNOLOGY Space Launch Initiative Mission and Science Measurement Technology Innovative Technology Transfer Partnerships
Performance: Accountability Vision All performance must be tied to the NASA Vision Mission One NASA: Many Themes support each of 3 NASA Missions Strategic Plan Goal 7 Goals tied to the Mission + 3 enabling Goals Objective What is to be accomplished; owned by a single Theme. Outcome An important multi-year step on a Theme’s roadmap. Performance Plan Annual Performance Goal Indicates annual progress towards achieving outcomes. Tied to a Theme’s budget investment.
Performance: Roadmaps • Strategic elements are all outcome or output oriented. • Near-term measurement is a combination of outcome and output. • Long-term measurement is all outcome oriented. • The performance plan annual performance goals must clearly demonstrate progress toward long-term outcomes and objectives. • The sum of all the annual performance goals working toward an objective must be sufficient to achieve the objective. Time Annual Performance Goal Long-term Outcome Objective
Communicating the Strategic Plan • Strategic Plans mailed to all NASA employees • Strategic Plan and Budget available to the public at: • http://www.nasa.gov/about/budget • Supporting materials available as part of a “communication package” available to all NASA employees • A CD is being mailed to all Center Directors • http://ifmp.nasa.gov/codeb/library/library.htm (future)
- - Integrated Planning Activities – In Work The three volumes that make up the Congressional Submission are connected to the other elements of the NASA strategic management system.
Integrated Planning Workshop • To ensure common understanding and consistency among HQ and Centers as we kick off numerous planning activities, an Integrated Planning Workshop will be held March 17-18 in Washington, DC. • The workshop will be a two-way discussion and a forum for raising questions and addressing issues. • The workshop goal is a One NASA approach to coordinating and completing these planning activities in an integrated way that is consistent with our Strategic Plan and will help us better align our activities to achieve the NASA goals and objectives. • Representatives from each Enterprise, other HQ codes, and each Center will participate. • Working sessions will address performance measurement, Enterprise Strategies, Center Implementation Plans, and the Strategic Management Handbook.
Performance Plans • OMB was not satisfied with the level of measurability in NASA’s FY 2004 objectives and performance measures. • In order to get OMB clearance of the 2003 NASA Strategic Plan, NASA agreed to update the FY 2004 performance plan to make it much more measurable, and to make half of all objectives measurable. • In addition, the FY 2003 performance plan will be updated to make it consistent with the new strategic framework; no annual performance goals dropped – some adjusted for measurability, some possibly added as appropriate. • Code BX will work with the Enterprises to develop improved objectives and performance measures – OMB will be participating in this process. • Measures for the FY 2005 performance plan are being gathered by the performing organizations through the POP call. • More specifics to be provided at next week’s workshop.
Enterprise Strategies will… • Be updated with the NASA Strategic Plan every 3 years, in synch with the budget release in the future; however, a sudden major change within an Enterprise may require an earlier release of the next version of the Enterprise Strategy; • Address a ten-year horizon, with the next 5 years in detail, and less detail for years 6 to 10; • Directly map into the NASA Strategic Plan; • Show how the Themes for each Enterprise will achieve their assigned objectives and outcomes; • Assess technology requirements and institutional processes identified in the Agency-level plans and the Strategic Plan; recognize gaps in current Enterprise capabilities to meet these requirements; and create roadmaps to close these gaps; closing these gaps could require new measurable outcomes in the next IBPD; • Include each Enterprise’s themes, missions, schedules, etc; and • Will provide multiyear roadmaps showing the major activities required to accomplish the outcomes identified in the FY04 IBPD, and any new outcomes identified for the FY05 IBPD.
Center Implementation Plans will… • Be updated every year prior to the beginning of the new fiscal year; • Address a ten-year horizon, with the next year in detail, and less detail for subsequent years; are primarily one-year tactical plans focused on how each Center will provide necessary support so relevant Themes and Enterprises can achieve assigned performance goals; can also address longer-term strategic issues as appropriate; • Directly map into the relevant Enterprise Strategies and the NASA Strategic Plan; • Show how each Center supports the Agency’s goals, objectives and outcomes under the management of its associated Enterprise(s); and • Show how each Center’s institutional functions (i.e., facilities, personnel, labs, etc.) either directly or indirectly support the Enterprises’ programs and projects.
Strategic Management Handbook • The Strategic Management Handbook needs an update to make it consistent with the new strategic framework. • Latter portion of handbook (chapters 3-5) is relatively well in hand with strategic and performance planning process revisions. • Roles and Responsibilities (chapter 2) needs considerably more work – particularly clarification and definition of management roles including Centers and Enterprises. • The workshop will provide an opportunity to define what some of the key issues are in this area • Early clarification of Enterprise and Center roles will help define specific content of Enterprise Strategies and Center Implementation Plans.
Conclusion Significant reforms are underway • Integration among the vision and mission, strategic plan, budget, and performance planning and reporting • Closer linkage of our budget estimates with our strategic plan, performance measures and institutional needs • Integrated budget and performance information in a single document, linked to strategic plan objectives through new budget structure arranged in “themes” • Ensures consistency among critical documents • Annual and long-term performance measures directly traceable through the strategic plan to the vision and mission • Clear accountability for results through themes • Defined agency goals requiring multiple enterprises and themes, with interdependencies and shared accountabilities • Reflects the One NASA philosophy This new approach should allow NASA to better achieve our new Vision and Mission