NOAA Office of Program Planning and Integration

Research and development (R&D) are the foundation upon which NOAA accomplishes its mission. The results of R&D are new knowledge and new technologies for application in NOAA’s delivery of science, service, and stewardship. R&D may be performed intramurally (by Federal laboratories and science centers), or extramurally (by Cooperative Institutes, universities, contractors, etc.) through financial awards. The tangible outputs of R&D take the form of peer-reviewed publications, environmental data sets, predictive models and algorithms, as well as periodic assessments that synthesize available knowledge on specific topics (such as the impacts of climate change and variability). R&D often results in inventions that may remain in the public domain or that may be patented and licensed. A less directly visible is the output of R&D projects is a more educated, creative workforce and richer, more integrated knowledge networks.

Primer on NOAA’s R&D Portfolio

Since 2009, funding for R&D has declined from 22% to 12% of the total Agency budget.¹ In comparison, other environmental science agencies allocate a somewhat smaller proportion (Department of Interior: 8%, Department of Agriculture: 10%, Environmental Protection Agency: 8%), other technology-heavy agencies allocate a much larger proportion (Department of Energy: 26%, National Aeronautics and Space Administration: 67%) and the average for all non-defense agencies has been 11% over the past few decades.² NOAA spent $630 million on R&D in FY 2011, with 71% going to research, 7% to development, and 22% to R&D infrastructure. ³ Over half of NOAA’s R&D budget is spent by OAR. By single-counting the goals to which R&D expenditures at Line Offices are directed, R&D directed toward NOAA’s Climate goal receives the largest investment (about 40%), as compared to R&D directed toward goals for Oceans (25%), Weather (18%), and Coasts (17%). Over the past few years, non-federal partners have conducted between a quarter and a half of the R&D that NOAA funds. R&D at NOAA is conducted by about 2700 bench scientists (workers at NOAA facilities who are expected or encouraged to publish), about 1700 of which are federal employees, with the remainder from academic, private, or not-for-profit entities. Most specialize in either natural resources management and biological sciences (about 1300) or the physical sciences (about 1000).⁴

The impetus for R&D at NOAA is improved (and often “holistic”) understanding of phenomena in the interest of the agency’s strategic goals. As such, scientific credibility is the most fundamental element of R&D performance. Peer review is a standard that researchers place on themselves as a professional community, but also one that the US government places on researchers as staff (e.g., via the Information Quality Act). NOAA produced 1,769 peer reviewed publications in FY12 (data not available for FY11 or for extramural research), at an average rate of about 140 per month, and about 0.66 publications per bench scientist per year. The top five subject categories by number of publications are: Atmospheric Sciences: 654, Marine & Freshwater Biology: 305, Oceanography: 238, Environmental Sciences: 215, Ecology: 155, Fisheries: 161. About 5% of NOAA articles in FY12 were co-authored with at least one other LO, and about 11% of articles were co-authored with at least one other research unit (within or across LOs).⁵

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Scope and Definitions of R&D

The definitions of R&D at NOAA (see below) were adopted from the National Science Foundation⁶, and were originated by Vannevar Bush (1945) in Science: The Endless Frontier.⁷ NOAA has adopted the official NSF definitions for research and development in NOAA Administrative Order 216-115, but discourages the often artificial distinction between basic and applied research. Instead, NOAA encourages use of Stokes’s more contemporary model of innovation, Pasteur’s Quadrant, in which research can be directed toward fundamental understanding (“pure basic”), ultimate use (“pure applied”), or both (“use-inspired”). R&D that is use-inspired is simultaneously intended to improve our fundamental understanding of the world and yield applications.⁸

R&D includes scientific research, technology development and demonstration, and associated infrastructure (often called “R&D plant”). R&D contrasts with “operations,” the regular and reliable provision of service, such as weather forecasts. Strictly speaking, R&D is not synonymous with “science,” that is, it does not include scientific activities that are part of regular NOAA operations (e.g., producing a weather forecast, collecting tide measurements). R&D excludes, for example, routine product testing, mapping and surveys, and the training of scientific personnel. There are, of course, operational activities and infrastructure that support R&D (e.g., satellite observation systems) but are not primarily deployed for purposes of research or development.

Moreover, while R&D is necessary for innovation, it is not sufficient. Only through the transfer of knowledge and technology to applications can the results of R&D create value. Innovation is “the process by which individuals and organizations generate new ideas and put them into practice.”⁹ It is more than ideation and invention, though these are essential ingredients; rather, it is about the implementation of these ideas and inventions. Work beyond the professional specializations of science and engineering is necessary to effectively deploy new products and processes such that they are useful and, in fact, used.

Research and Development (R&D):  Research, development, and R&D plant include all direct, incidental, or related costs resulting from, or necessary to, performance of research and development, and costs of R&D plant as defined below, regardless of whether the research and development are performed by a Federal agency (intramurally) or performed by private individuals and organizations under grant or contract (extramurally). R&D excludes routine product testing, quality control, mapping and surveys, collection of general-purpose statistics, experimental production, and the training of scientific personnel.

Research:  systematic study directed toward fuller scientific knowledge or understanding of the subject studied.

Development:  systematic use of the knowledge or understanding gained from research, directed toward the production of useful materials, devices, and systems or methods, including design, development, and improvement of prototypes and new processes. It excludes quality control, routine product testing, and production.

Demonstration:  activities that are part of research or development (i.e., that are intended to prove or to test whether a technology or method does, in fact, work) should be included. Demonstrations intended primarily to make information available about new technologies or methods should not be included.

R&D plant:  R&D facilities and fixed equipment, such as reactors, wind tunnels, and particle accelerators. Costs include acquisition of, construction of, major repairs to, or alterations in structures, works, equipment, facilities, or land for use in R&D activities at Federal or non-Federal installations. Excluded from the R&D plant category are expendable or movable equipment (e.g., spectrometers, microscopes) and office furniture and equipment. Also excluded are the costs of pre-design studies (e.g., those undertaken before commitment to a specific facility). These excluded costs should be reported under total conduct of research and development. Obligations for foreign R&D plant are limited to Federal funds for facilities located abroad and used in support of foreign research and development.

Operations:  Sustained, systematic, reliable, and robust mission activities with an institutional commitment to deliver appropriate cost-effective products and services.

Transition:  The transfer of knowledge or technology from a research or development setting to an application, including operational settings. Transitions occur in two phases: demonstration (e.g., the use of test-beds to confirm operational usability or demonstration using rapid prototyping), which is part of R&D, and deployment (e.g., the integration of new people, equipment, or techniques into an operational environment), which is part of applications, including NOAA operations. Transitions may occur from NOAA-conducted R&D to NOAA operations, from NOAA-conducted R&D to an external partner, or from external partner-conducted R&D to NOAA operations.¹⁰

Invention:  Any novel art, manufacture, design, or composition of matter, or any new and useful improvement thereof which is or may be patentable under Title 35 of the United States Code or any novel variety of plant which is or may be protectable under the Plant Variety Protection Act.¹¹

Innovation:  The implementation of a new or significantly improved product (good or service), or process, a new marketing method, or a new organisational method in business practices, workplace organisation or external relations.¹²

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Institutions Conducting NOAA R&D

NOAA’s laboratories, science centers, programs, and cooperative institutes support or conduct research on Earth’s physical, chemical, and biological systems. NOAA has 50 organizational units that are responsible for either conducting or funding R&D. These include units such as the NESDIS Center for Satellite Applications and Research (STAR), the NMFS science centers, the NOS National Centers for Coastal Ocean Science (NCCOS), the NWS Office of Science and Technology (OST), the OAR Climate Program Office (CPO), the National Sea Grant Program, and the Earth System Research Laboratory (ESRL).

NOAA also funds research that is conducted by Cooperative Institutes (CIs), which are non-federal, non-profit research institutions in a long-term (5-10 year) collaborative partnership with NOAA. Many of the Cooperative Institutes are collocated with NOAA research laboratories, creating a strong, long-term collaboration between scientists in the laboratories and in the universities. The CI program has been in existence for 44 years, with Cooperative Institutes located at parent institutions from Hawaii to Maine and from Alaska to Florida. Currently, NOAA supports 18 Cooperative Institutes consisting of 48 universities and research institutions across 21 states, Puerto Rico, and the U.S. Virgin Islands. In FY 2011, NOAA provided $176.4M to Cooperative Institutes, supporting 1211 employees and 485 students.

NOAA’s National Sea Grant College Program is a national network of 33 university-based programs dedicated to serving citizens in coastal communities throughout the Nation. Sea Grant helps citizens understand, conserve, and better utilize America’s coastal, ocean, and Great Lakes resources. With on-the-ground extension experts located in every coastal and Great Lakes state, Sea Grant translates science, including results of research it funds, into services that benefit coastal residents and their communities, thus contributing to R&D at NOAA. Sea Grant has been in existence for 46 years. In FY 2011, NOAA provided $57.5M to 524 Sea Grant colleges or universities, supporting 2370 employees and 1882 students.

NOAA supports the R&D of other partners as well, such as the Educational Partnership Program (EPP) and the National Estuarine Research Reserves. In FY 2011, NOAA provided $76.5M to these partners, supporting 207 employees and 557 students. Further, NOAA awards other grants beyond Sea Grant. The total amount awarded for other R&D grant solicitations in FY 2011 was $36.9M for 36 unique solicitations. The funding awarded in FY 2011 for grants selected in prior years’ solicitations was $76.37M.

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Corporate Councils and Committees

Two corporate bodies oversee R&D at NOAA. One, NOAA’s Research Council, is composed of members representing NOAA’s internal Line Offices. The other, NOAA’s Science Advisory Board, is an Federal Advisory Committee that is intended to provide an external viewpoint. Both bodies have standing sub-groups to address particular topic areas.

The NOAA Research Council (NRC):  The mission of the NOAA Research Council is to ensure all NOAA research and development (R&D) activities are strategically managed across NOAA to fulfill the Agency’s science mission and improve its service and stewardship missions in accordance with NOAA’s corporate vision, goals, objectives, and priorities. The purview of the NOAA Research Council is the conduct and management of R&D (both conducted and funded), as defined in NOAA Administrative Order (NAO) 216-115. This includes issues of oversight and policy to ensure that NOAA R&D activities are of the highest scientific quality, meet near- to long-term NOAA mission requirements and societal needs, take advantage of emerging scientific and technological opportunities, shape a forward-looking research agenda, and are accomplished in an efficient and cost-effective manner. To accomplish its mission, the Council develops and maintains corporate R&D planning and policy guidance, as needed, and it oversees the implementation of existing R&D documents.

The Research Council also maintains four standing committees, which specialize in topical areas of R&D management and provide administrative support to the Council along these lines. These committees are:

Cooperative Institutes Committee:  It helps the RC address its responsibility to provide corporate oversight and develop policy to ensure that NOAA research activities are of the highest scientific quality, meet long-range societal needs, take advantage of emerging scientific and technological opportunities, shape a forward-looking research agenda, and are accomplished in an efficient and cost effective manner. The CI Committee was established to provide the RC with support to fulfill its oversight responsibility of the NOAA CI program, as described in the NOAA CI Policy (NOAA Administrative Order 216-107).

Line Office Transition Managers Committee (LOTMC):  Within the scope of responsibilities of the NOAA Research Council, the Line Office Transition Managers Committee will implement NAO 216-105: Policy on Transition of Research and Development to Application (R2A), in order to plan, monitor, evaluate, and improve the effectiveness of NOAA R&D transition activities.

Research and Development Enterprise Committee (RDEC):  The Research and Development Enterprise Committee (formerly known as the Committee for Monitoring Research) will implement NAO 216-115: Strengthening NOAA’s Research and Development Enterprise and NAO 216-111: Strategy, Execution, and Evaluation, in order to: effectively characterize and guide NOAA’s research and development (R&D) enterprise through corporate R&D enterprise strategic planning; increase coordination, enhance integration, and reduce redundancy through effective planning and execution; and monitor, evaluate and report on the effectiveness of our R&D activities.

Social Science Committee (SSC):  The Social Science Committee is an advisory body to strengthen, coordinate and integrate the agency’s social science research and analysis capabilities. The SSC shall enable the NRC to fulfill both elements of its mission: Ensure all NOAA services are based on sound science; and ensure all NOAA research programs and long term plans are consistent with the NOAA Mission, NOAA Strategic Plan, and recommendations of the Science Advisory Board (SAB) and the National Research Council.

The NOAA Science Advisory Board (SAB):  NOAA’s Science Advisory Board (SAB) was established by a Decision Memorandum dated September 25, 1997. It is the only Federal Advisory Committee with responsibility to advise the Under Secretary of Commerce for Oceans and Atmosphere on long- and short-range strategies for research, education and the application of science to resource management and environmental assessment and prediction. SAB activities and advice provide necessary input to ensure that National Oceanic and Atmospheric Administration (NOAA) science programs are of the highest quality and provide optimal support to resource management, and environmental assessment and prediction. The 15-member advisory board assists NOAA in maintaining a complete and accurate understanding of scientific issues critical to the agency’s missions. Composed of eminent scientists, engineers, resource managers and educators, the diverse membership of the Board assures expertise reflecting the full breadth of NOAA’s responsibilities, as well as the ethnic and gender diversity of the United States. Members are appointed by the Under Secretary of Commerce for Oceans and Atmosphere and NOAA Administrator.

The SAB also maintains five standing working groups, which specialize in topical areas and provide administrative support to the Council along these lines. These committees are:

Ocean Exploration Advisory Working Group:  Its primary purpose will be to provide NOAA, through the SAB, with timely and expert guidance and oversight pertaining to, (1) general priorities for ocean exploration, including geographic areas of interest as well as subject matter topics, and (2) advice concerning emerging ocean exploration-relevant technologies.

Climate Working Group (CWG):  The CWG will focus on the broad research and operational components of the climate program, as well as on the underlying observations and data management issues. The CWG will assist in establishing plans, reviewing progress, and setting priorities on a continuing basis.

Data Archive and Access Requirements Working Group (DAARWG):  This working group provides scientific advice and broad direction to NOAA regarding the wide range of data, information, and products that NOAA should archive and how NOAA can best provide access to this information.

Ecosystem Sciences and Management Working Group (ESMWG):  This working group provides scientific advice and broad direction regarding NOAA’s ecosystem related programs, in the context of national and international activities.

Environmental Information Services Working Group (EISWG):  This working group advises the SAB on the condition and capabilities of improving communications among the various public, private, and academic entities engaged in environmental information matters and will submit formal reports to the SAB that identify current issues, deficiencies, recommendations for remedial action, and proposed initiatives.

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Key Documents for Understanding NOAA’s R&D Enterprise

A few documents are exceptionally useful for understanding NOAA’s portfolio of R&D activities and how they are executed. The first two listed here are planning documents produced internally by NOAA’s Research Council. The latter two are evaluations of NOAA’s R&D enterprise produced by NOAA’s Science Advisory Board.

20 Year Research Vision:  (NOAA Research Council, 2005). The 20-year Research Vision provides the foundation for NOAA’s longer-term approach to research. It positions NOAA to support society’s changing needs for information and services over the next 20 years and beyond, and enable society to make the best social and economic decisions.

5-Year Research and Development Plan:  (NOAA Research Council, 2013). The Five Year R&D Plan is designed to guide NOAA’s R&D activities over the next five years (2013-2017). The Plan is intended to provide a common understanding among NOAA’s leadership, its workforce, its partners, constituents, and Congress on how the agency’s R&D creates value. As such, the Plan is a framework with which NOAA and the public can monitor and evaluate the agency’s progress and learn from its experiences.

Review of the Organization and Management of Research in NOAA:  (NOAA Science Advisory Board, 2004). In response to Congressional concerns, NOAA asked its Science Advisory Board (SAB) to establish a Research Review Team with the broad task of providing findings and recommendations for NOAA to use to enhance its research organization and connection to operational activities. This report establishing operational and organizational principles for guiding research, and provides findings and recommendations.

In the Nation’s Best Interest: Making the Most of NOAA’s Science Enterprise:  (NOAA Science Advisory Board, 2013). The SAB appointed the R&D Portfolio Review Task Force (PRTF) and charged it with assessing how well NOAA’s current R&D portfolio supports the agency’s strategic mission priorities as stated in the Next Generation Strategic Plan and, based on this assessment, advising how the R&D portfolio might be better structured to align with those goals.

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NOAA Administrative Orders Governing R&D

A number of NOAA Administrative Orders (NAOs) address the particular governance requirements of research and development activities. Of particular note with respect to corporate planning, execution and evaluation are NAO 216-115 on NOAA’s R&D enterprise, and NAO 216-105 on transitioning research to applications. All relevant NAOs are presented (and linked to) here, in descending numerical order:

NAO 216-115: Strengthening NOAA’s Research and Development Enterprise:  This NOAA Administrative Order establishes the principles, policies, and responsibilities for planning, monitoring, evaluating, and reporting research and development activities comprising the entire NOAA R&D enterprise. Additional detail on R&D planning, monitoring, evaluating, and reporting can be found in the NAO 216-115 Procedural Handbook.

NAO 216-113: NOAA State of the Science (SoS) Fact Sheets:  To assist the general public in understanding the state of the science, NOAA shall develop, as necessary, State of the Science (SoS Fact Sheets) about key research areas of high interest to the public and/or where there may be diverse scientific views within NOAA. Specifically, these SoS Fact Sheets will serve to: educate the general public, focusing generally at a high-school level audience; act as an overview primer for NOAA officials in preparation for public events; and enhance communication among NOAA employees and promote dialogue among NOAA researchers investigating diverse hypotheses.

NAO 216-109: Policy on Reimbursable Research:  This Order establishes the National Oceanic and Atmospheric Administration’s (NOAA) policy for reimbursable research by NOAA laboratories. The Order covers: 1) criteria for the acceptance of reimbursable research work by NOAA laboratories; 2) responsibilities for oversight of reimbursable research work; 3) mechanisms for elevating the level of oversight; and 4) a process for developing corrective action plans and granting exemptions.

NAO 216-107: NOAA Policy on Cooperative Institutes:  This Order establishes a policy associated with National Oceanic and Atmospheric Administration (NOAA) Cooperative Institutes (CIs). This policy sets forth basic principles to be applied in making decisions regarding NOAA CIs. It supports NOAA’s intent to maintain robust cooperative relationships with academic and non-profit research institutions that demonstrate the highest level of performance and conduct research that is consistent with the NOAA strategic plan and supporting research documents, and aligned with NOAA’s mission goals.

NAO 216-106A: NOAA Science Career Track:  This Order establishes the National Oceanic and Atmospheric Administration’s (NOAA) policy for classifying research scientist and development scientist positions, and processing the appeals of these classifications. This order supplements and is to be used in conjunction with Department Administrative Order (DAO) 202-511, Position Classification and establishes a NOAA Science Career Track (science career track) that allows non-competitive promotion of specified positions with a peer review panel process.

NAO 216-105: Policy on Transition of Research to Application:  This policy establishes the process for identifying and transitioning research results to applications. The policy outlines the roles and responsibilities of various officials, including Line Office Transition Managers, associated with the transition of research results to applications. Additionally, the policy identifies those entities that have the authority to implement this policy and those who are accountable for transitioning research results to applications.

NAO 212-15: Management of Environmental Data and Information:  This NOAA Administrative Order (NAO) establishes the Department of Commerce (DOC) National Oceanic and Atmospheric Administration (NOAA) Environmental Data Management Policy. This policy provides high-level direction that guides procedures, decisions, and actions regarding environmental data and information management throughout NOAA. Further guidance on how this policy is to be implemented will be provided in procedural directives that address the full data lifecycle of all domains of NOAA environmental information and records.

NAO 205-17: NOAA Information Access and Dissemination:  This Order establishes policy for distributing scientific and technical publications and ensuring compliance with NOAA’s mission to provide environmental information to its user communities. This policy promotes the use of NOAA environmental information and management of the scientific results available in NOAA-authored or NOAA-sponsored publications.

NAO 202-735D: Scientific Integrity:  To promote a continuing culture of scientific excellence and integrity, and to establish a policy on the integrity of scientific activities that the agency conducts and uses to inform management and policy decisions. In addition, the intent of the policy is to strengthen widespread confidence – from scientists, to decision-makers, to the general public – in the quality, validity, and reliability of NOAA science and to denote the agency’s commitment to a culture of support for excellence of NOAA’s principal science asset, its employees.

NAO 201-103: Cooperative Research and Development and Invention Licensing Agreements Under the Federal Technology Transfer Act of 1986 (Public Law 99-502):  This NOAA Administrative Order sets forth NOAA policy for implementation of sections 2 and 7 of the Federal Technology Transfer Act of 1986 (Public Law 99-502), as amended, hereinafter referred to as the Act, and Executive Order 12591, on Facilitating Access to Science and Technology. This NOAA Order prescribes procedures to be used in NOAA for entering into cooperative research and development agreements (CRADAs) and licensing agreements as authorized by section 2 of the Act, and for the distribution of royalties received by NOAA from licenses on NOAA inventions as required by section 7 of the Act.

NAO 201-32G: Scientific and Technical Publications:  This Order defines the National Oceanic and Atmospheric Administration (NOAA) policies, specifies the media categories, and assigns responsibilities for the publication of scientific and technical papers, manuals, and other documents written by NOAA personnel or for NOAA organizations.

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