NASA 2003 Strategic Plan & Agency Strategic Overview

Doug Comstock

Director of Strategic Investments

March 17, 2003

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Vision and Mission:Our New Starting Point

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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)

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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.

Issues:

Align budget with results

Managers control full resources

Support decision makers

Assess program results

NASA Response

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The Congressional Submission

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The Congressional Submission

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The three volumes that make up the Congressional Submission are connected to the other elements of the NASA strategic management system.

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Achieving the NASA Mission

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.

To Understand and Protect our Home Planet

GOAL 1

GOAL 2

GOAL 3

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Achieving the NASA Mission

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.

To Explore the Universe and Search For Life

GOAL 4

GOAL 5

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Achieving the NASA Mission

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.

To Inspire the Next Generation of Explorers

GOAL 6

GOAL 7

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Achieving the NASA Mission

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.

Space Flight Capabilities: Goals to enable the Mission

GOAL 8

GOAL 9

GOAL 10

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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.

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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.

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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.

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New Building Block InvestmentsOvercoming Barriers that Constrain Research and Discovery

Ongoing Efforts New Efforts

Nuclear Systems Initiative• Greatly increased power for space

science and exploration

Bioastronautics Program• Roadmap to address human

limitations

Integrated Space Transportation Plan• Orbital Space Plane• Extended Shuttle operations• Next-generation launch systems

Project Prometheus• Nuclear Power and propulsion for

revolutionary science and orbital capabilities

• First mission to Jupiter’s moons

Human Research Initiative• Accelerate research to expand

capabilities• Enable 100+ day missions beyond

low-Earth orbitIn-Space Propulsion Program• Efficient solar system transportation

Space Station Restructuring• Research priority focused• Management reforms• Sound financial base

Optical Communications• Vastly improved communication

transform science capability• First demonstration from Mars

Technological Barriers

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

Building Blocks

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Robust Strategy for Scientific Discovery:Stepping Stones to Human and Robotic Exploration

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• 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

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Implementing Strategies

1. Achieve management and institutional excellence

comparable to NASA’s technical excellence;

2. Demonstrate NASA leadership in the use of information

technologies;

3. Enhance NASA’s core engineering, management, and

scientific capabilities and processes to ensure safety and

mission success, increase performance, and reduce cost;

4. Ensure that all NASA work environments, on Earth and in

space, are safe, healthy, environmentally sound, and

secure; and

5. Manage risk and cost to ensure success and provide the

greatest value to the American public.

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The Strategic Organization: Agency Goals

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The Strategic Organization: Themes

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Enable a safer, more secure, … air transportation system.

Create a more secure world …

Explore the fundamental principles … in … space.

Explore the solar system …

Inspire and motivate students …

Engage the public …

Extend … human space flight …

Enable revolutionary capabilities …

Ensure the provision of space access …

Primary contribution to a Goal

Supporting contribution to a Goal

The Strategic Organization

ONE

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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 Strategic Organization: Legend

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The Integrated Document

NASABudgetRequest

NASABudgetRequest

NASAPerf. Plan

InternalProgram CommitmentAgreements

Life Cycle Cost Data (300B’s)

Multiple documents from FY2003 and before are now one FY2004 Integrated Budget and Performance Document (IBPD).

• More detail, including mission life-cycle cost.

• Will be used by Agency managers as a signed commitment agreement.

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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 CategoryDevelopment

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.

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The Table of Contents

The new budget structure drives the organization of the integrated budget and performance document.NASA

BudgetRequest

30 pages

~80 pages(18 x 4 pg ea)

~200 pages(93 x 2+ pg ea)

~100 pages

ThemeTheme

PerspectivesPerspectives

SummarySummaryR

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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

DataSheetsDataSheets

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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.

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Budget Structure: FY2003 Appropriations

Features:

• Basic construct created since Space Station Freedom redesign in 1993

• Emphasizes split between human and science.

HUMAN SPACE FLIGHT

SCIENCE, AERO, & TECH

INSPECTOR GENERAL

International Space StationSpace ShuttlePayload and ELV SupportHEDS Invest. and SupportSpace Comm. & Data Sys.

Space ScienceEarth ScienceBio. & Physical ResearchAerospace TechnologyAcademic Programs

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Budget Structure: FY2004 Appropriations

Features:• Matches 2003 Strategic Plan

• Renames Appropriation Accounts

• Emphasizes Mission-driven activities and capabilities

SCIENCE, AERONAUTICS, ANDEXPLORATION

SPACE FLIGHT CAPABILITIES

INSPECTOR GENERAL

Space ScienceEarth ScienceBio & Physical ResearchAeronauticsEducation Programs

Space FlightCrosscutting Technology

Mission DrivenMission Driven

EnablingEnabling

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Budget Structure: Theme Areas

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

SCIENCE, AERONAUTICS, AND EXPLORATION SPACE FLIGHT CAPABILITIES

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Performance: Accountability

Mission One NASA: Many Themes support each of 3 NASA Missions

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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.

Annual Performance Goal

Indicates annual progress towards achieving outcomes.Tied to a Theme’s budget investment.

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Vision All performance must be tied to the NASA Vision

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Performance: An Example

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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.

AnnualPerformance

Goal

Long-termOutcome

Objective

Time

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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)

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Integrated Planning Activities – In Work

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The three volumes that make up the Congressional Submission are connected to the other elements of the NASA strategic management system.

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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.

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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.

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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.

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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.

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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.

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Proposed ScheduleFY 2005 BUDGET PROCESS

Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Jan

PROGRAM/PROJECT BUDGETS(in full cost, incl. Perf. measures)> release guidance 2/26 > project components 4/11> project/program recommendations 5/8> Center submission to Enterprises 5/30 > Center Director meetings w/Administrator 6/4-5> Code N Review of Enterprise Education Content 5/30 6/27

INSTITUTIONAL (G&A)> submission / recommendations 4/11 5/8

NEW INITIATIVES (JSAC)> submission / recommendations 4/1 5/30

EXECUTIVE REVIEW> Enterprise / Code B reviews 6/27 7/16> Executive Council 7/17 8/1> Adminstrator's decisions 8/4 8/11

STRATEGIC/PERFORMANCE ACTIVITIES> Enterprise Strategies 9/30> Center implementation plans for FY04 9/30> Strategic Management Handbook update 9/30> Performance plans 6/1 8/1 9/8

FY03 FY04 FY05PASSBACK 12/3 12/15

FINALIZE SUBMISSION> adjust institution & submit final estimates 8/22 12/19> reconciliation complete / submit 9/8 12/4> finalize Congressional documentation 12/15

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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

This new approach should allow NASA to better achieve our new Vision and Mission