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Policy 1-National Program Planning and Coordination

The Administrator will operate ARS as a managed activity coordinated by the ARS Strategic Plan and the National Programs.

The ARS National Program Strategy describes the research needed to respond to the problems and opportunities facing U.S. agriculture. ARS, the principal intramural research agency in USDA, is in turn challenged to focus its scientific resources on the timely solution of the issues it addresses. The ARS Administrator will ensure that needed program plans are developed, updated periodically, and implemented to deploy the physical and human resources of ARS to that end. Such National Program plans will provide a framework and sound foundation for:

• Assigning responsibilities for program and administration within the agency.

• Coordinating and integrating research across ARS National Programs and Areas to ensure effective teamwork and to minimize duplication.

• Coordinating ARS National Programs with progress of other research institutions, such as the State agricultural experiment stations and industry, to ensure that efforts are efficient and complementary.

• Ensuring that those who use the outputs of agricultural research, including other Federal agencies, have a forum to make their requirements known.

• Setting priorities for allocating and redirecting resources and developing budget requests to promote scientific excellence and to use the talents of the agency most effectively.

• Ensuring that the scientific effort addresses the ARS Strategic Plan and the vision, mission and objectives of the various National Programs.

• Ensuring that problems are addressed by the most appropriate means in terms of key scientific disciplines, teamwork, and technical approach.

• Ensuring that physical and financial resources are allocated to best accomplish the most important research.

• Reviewing and evaluating progress toward achievement of the objectives.

• Enhancing the opportunity for ARS scientists to apply their expertise innovatively to critical regional, national, and international problems.

• Communicating information at the National Program level to Congress and the stakeholders and clientele.

The ARS Strategic Plan and the National Programs will be the key documents in the overall ARS Program Plan. Development and maintenance of the ARS Strategic Plan are responsibilities of the deputy administrator who directs the ARS National Program Staff (NPS). Central to the major functions of the NPS is the visioning, planning, coordination, and articulation of the National Programs. Working with line managers, NPS-in accordance with the National Programs-will assess the full spectrum of scientific and fiscal resource needs of the agency, assess the resources that are available for reassignment, and identify program areas that lack resources. Based on the results of that work, NPS will develop options and provide to the deputy administrator recommendations for resource allocations.

The deputy administrator, NPS, is responsible for resource allocations to research programs and projects within the framework of policies and guidelines established by the Administrator, Department, and Congress. Line managers-including area, center, and laboratory directors and research leaders-are responsible for research program implementation. The Administrator, NPS, AD's, and the ARS Budget and Program Management Staff will develop budget proposals for submission to the Department. Periodically, NPS will adjust the ARS Strategic Plan and National Program statements based on budgetary decisions and national priority needs. A coordinated ARS effort will ensure that public resources are expended on scientifically relevant, excellent, and innovative efforts directed toward high-priority problems.

Policy 2-Determination of National Program Content

The ARS research program will include the full range of activities needed to achieve the Strategic Plan and the National Programs' vision, mission, and objectives.

For steady progress toward achieving the ARS Strategic Plan and the National Programs' objectives, ARS will balance its efforts between fundamental and applied research to solve technical agricultural problems. Fundamental research produces knowledge that is an essential scientific resource to resolution of critical problems. In their applied research, ARS scientists will draw on this resource to meet the immediate needs of USDA action agencies, other Federal agencies, and other users of ARS research findings. By maintaining the appropriate balance between fundamental and applied research, ARS will fully address the issues identified in the ARS Strategic Plan and National Programs. Interdisciplinary research teams will be formed, reorganized, and redirected as needed to ensure that effort is efficiently focused and that the research approaches/plans that promise the widest spectrum of benefits are pursued. Cooperative research by ARS, State, and industry scientists will be encouraged as an efficient means for increasing the overall benefits that accrue from public investments in agricultural research.

Policy 3-Establishing Priorities

The deputy administrator is responsible for establishing priorities in the ARS Strategic Plan and the agency's annual budget proposals (or submissions). The Administrator ensures that the priorities are consistent with the Department's goals.

The priorities established form the basis for determining program content, for operational planning, and for resource allocations in ARS in three major ways. Priorities will be the foundation for updating the ARS Strategic Plan and National Program statements for planning annual allocations and budget requests. Priorities will guide allocation of resources to research projects and among competing operational needs. An evaluation of progress in, and the plans of, each (CRIS) research project will form the basis for allocations. NPS is responsible for guiding National Program development and establishing project scope and direction; line managers are responsible for ensuring project statement development and review, based on the general guidance from NPS and consistent with National Programs; and research leaders and individual scientists are responsible for determining which experimental approaches and specific lines of research to pursue within the overall mission of their laboratories.

Priority setting is complex and dynamic. It is an interactive process among staff and line scientists and includes considerations of both the scientific community and research users. Decisions by the Secretary of Agriculture, Office of Management and Budget, and Congress will determine the ARS appropriation and can affect the allocation of funds to specific locations and areas of research. Within ARS, individual scientists, along with area directors and their staffs, will significantly influence priorities based on their analyses of research and approach needs for equipment, facilities, and personnel for exploiting scientific opportunities. Outside of ARS, the REE advisory boards, commodity organizations, leaders of farm organizations, industrial groups, and professional societies influence priorities. The USDA action and regulatory agencies that depend on ARS for research-agencies such as the Animal and Plant Health Inspection Service; Natural Resources Conservation Service; Cooperative State Research, Education, and Extension Service; Forest Service; Food Safety and Inspection Service; Food and Nutrition Service; Agricultural Marketing Service; and Foreign Agricultural Service-will also influence priorities. At times, the research needs of agencies such as the Food and Drug Administration, Environmental Protection Agency, Agency for International Development, Department of Defense, National Aeronautics and Space Administration, and Bureau of Land Management will enter the process. Analyses and projections by USDA's Economic Research Service and other agencies will also be considered.

For setting of priorities, the Administrator will rely on the deputy administrator, NPS, and NPS to plan, articulate, and evaluate National Programs. NPS identifies research opportunities, research that is conducted by other organizations, and research needs that are expressed by user and advisory groups. NPS develops recommendations for program redirections and budget requests. As the direct recipient of the information described above, the deputy administrator, NPS, will establish and articulate ARS priorities and allocate resources accordingly. NPS will update the ARS Strategic Plan and the National Program statements and, with the ARS Budget and Program Management Staff, develop the agency budgets.

The main criteria for setting priorities and allocating resources will be:

1. Consistency with the objectives and goals of Congress, the Department, and ARS.

2. Need for the research as expressed by ARS scientists, USDA action agencies and other Federal agencies, stakeholders, clientele, and the general scientific community.

3. Potential benefits from achieving the stated goals and objectives.

4. Research capabilities and capacity of the scientists, laboratory, or program.

5. Probability of success.

6. Cost of conducting the research.

7. Amount and kind of research effort conducted by other research organizations.

Several factors may limit the allocation of resources and kinds of research that ARS conducts and its flexibility in use of resources. The following factors, which include major limitations, must be considered:

• Availability of scientific expertise. Successful research depends on the training and experience of individual scientists and on the teamwork that evolves within and among laboratories. For both individuals and groups, many years are required to reach peak productivity.

• Geography, climate, and soil. For valid results, certain types of research, especially field research, must be conducted at problem sites and over extended periods.

• Nature of the problem. Much ARS research requires costly facilities and equipment that are problem-specific. Quarantine facilities and special equipment for work on recombinant DNA and foreign animal diseases are examples.

• Sequential nature of research. Often, one phase of research must be completed before the next phase can be started.

• Continuous adaptation of biological systems. Examples are the resistance of crop pests to chemical controls and the genetic improvement of crops that may introduce new vulnerabilities. Goals and priorities must be revised to meet new problems as they arise.

• Germplasm availability.

No totally objective formula is possible for setting priorities and allocating resources for research. Priority setting for research is the exercise of informed judgment. It is based on the criteria and limitations listed above; all the factors are important at some level of decisionmaking. At the project level, scientific criteria and experience will predominate. At the national level, scientific criteria must be balanced with Federal policies and with the needs of action agencies and other users of research. It is the task of the Administrator, deputy administrator, NPS, and the area directors, working as a team, to achieve such a balance so that ARS may provide its scientists with the long-term stability and the firm commitments that are needed for creative research.

Policy 4-National Program Implementation and Management

ARS operates by means of coordinated line and staff activities and responsibilities. Area directors are responsible for field operations managed by directors of major research centers and research unit leaders. The deputy administrator is responsible for the management and operation of NPS. The Administrator is responsible for overall coordination and execution of the program.

NPS is responsible for developing and providing overall leadership for the National Programs in accordance with policies 1 and 3. The area directors are responsible for operations and operational planning for assigned research units. NPS and the area directors are expected to operate as a team to ensure scientific integrity, relevance, and excellence in matters of National Program implementation and management, scientific staffing, field reorganizations, and other matters that may affect the National Programs' objectives.

The area and center directors and scientists prepare operational plans in consultation with, and subject to review by, NPS. The area directors, working with the center directors and research leaders, are responsible for the direct supervision and management of approved research programs and projects. Administrative management support services provide for personnel and for procurement, fiscal, and other functions. Area directors manage the performance evaluation system by which individual scientists and support personnel are evaluated, including the recognition of interdisciplinary research and teamwork.

Line managers play a key role in coordinating research in ARS with that in the State agricultural experiment stations, and other agricultural groups of State and regional scope. Through close working relationships with the directors of State agricultural experiment stations and other universities and colleges, joint research projects, cooperative agreements, and extramural projects are developed as needed to ensure efficient use of ARS personnel and resources.

Line and staff personnel will work together to maintain the integrity and scientific excellence of National Programs while efficiently and effectively using ARS resources. NPS will consult with line managers and scientists in developing ARS priorities, National Programs, and the ARS Strategic Plan; the area directors will consult and review with NPS to ensure that the operational plans are consistent with the research objectives and with the priorities of the ARS Strategic Plan and the National Programs.

Policy 5-Review and Evaluation

The deputy administrator, NPS, is responsible for the systematic evaluation of National Programs and of progress toward achievement of the goals of the ARS Strategic Plan and the National Programs.

Review and evaluation of the National Programs and the research components, as well as locations, laboratories, management units, and research projects, serve to identify areas of significant progress, major limitations to further progress, emerging research problems and opportunities, and research that can be discontinued. That information will be used in setting priorities, planning and implementing redirections, developing budgets, and revising the ARS Strategic Plan, the National Programs, and the operational plans.

NPS is responsible for reviewing National Programs and for evaluating their progress and consistency with the ARS Strategic Plan and the Government Performance and Results Act (GPRA). To successfully carry out that responsibility, members of NPS will be recognized experts in their fields and will be expected to maintain their knowledge of the latest scientific aspects of their assigned areas of responsibility. NPS members will also need broad experience and understanding of interdisciplinary research to recognize and exploit opportunities in related fields or to function as coordinators of problem-solving interdisciplinary teams. They will be prepared to provide authoritative advice as required. NPS members, then, serve the agency as guardians of the continuing relevance and correctness of the technical directions of the ARS National Programs.

NPS and area and center directors will manage the review and evaluation process with NPS taking the lead on National Programs and area directors or center directors taking the lead on reviews of locations, laboratories, or specific management units. Review and evaluation teams will include knowledgeable but impartial customers, stakeholders, and partners of ARS, selected from those who have no direct or personal stake in the outcomes of the specific reviews. Review and evaluation teams will develop a formal list of findings and recommendations and transmit them to the area directors and NPS. NPS and the area directors will then document and forward to the deputy administrator the plans for and actions taken to implement the recommendations of the review and evaluation team, or the reasons why specific recommendations cannot be adopted.

The purpose of the National Program evaluation is to keep program problems, objectives, and outcomes relevant; keep programs and staff responsive; gather information that will satisfy GPRA requirements; ensure the quality of science at ARS; and express ARS mission. There are three components to the National Program evaluation process:

• Program performance evaluations-undertaken on an annual basis using a World Wide Web form. Objectives/outcomes will relate to GPRA reporting requirements, past performance and planned performance; standards for individual lab reviews; and a National Program review document, to be released once in 5 years.

• Customer feedback surveys-undertaken every 5 years using a World Wide Web survey form. Objectives/outcomes will relate to GPRA reporting requirements, past performance and planned performance; for dissemination at the National Program reviews; and for customer acceptance.

• National Program review-undertaken every 5 years at a national workshop. Objectives/outcomes are expected to result in customers and stakeholders forging valuable and lasting relationships with ARS; an evaluation of the vision and rationale of each National Program, in context; an evaluation of the relevance of the research of each National Program; an evaluation of the effectiveness and responsiveness of ARS research; and an evaluation of the quality of the science.

National Program evaluation will not replace location, center, or other program reviews and workshops conducted at the discretion of national program leaders and area directors.

Area and center directors will annually evaluate each research unit and laboratory under their supervision to monitor progress on operational plans and to ensure conformance with the ARS Strategic Plan and with the National Programs. Although technical matters may be considered in these annual evaluations, the main purpose will be to monitor operational capability and performance. The adequacy of available physical, financial, and human resources should be assessed in relation to the technical objectives to be achieved. Special attention should be given to opportunities for enhancing technical and leadership capabilities. Recommendations or actions arising from these evaluations will be formally communicated to the deputy administrator, NPS.

Scientific and technical excellence demands a continuing review and evaluation of progress by the scientists performing the work. Scientific decisions at the experimental level are best made by those scientists.

Appropriate management information systems will be developed and maintained to meet the specific needs of the Administrator and of the deputy administrator, NPS, and area directors.

Policy 6-International Activities

ARS conducts research and participates in technology exchange in foreign countries to complement and strengthen domestic research programs and to support international trade and development.

The Administrator has operating responsibility for ARS international activities. The assistant administrator for International Activities is responsible for management of ARS human and financial resources allocated to foreign research activities. NPS, the assistant administrator for International Activities, and the deputy administrator, NPS, are responsible for planning, setting priorities, allocating resources, and evaluating international research activities that are an extension of the domestic programs described in the ARS Strategic Plan and in the National Programs.

ARS also will support U.S. and foreign initiatives that directly benefit U.S. agriculture and provide a substantial contribution to world agriculture. ARS will work directly with other USDA agencies-such as the Foreign Agricultural Service, Office of International Cooperation and Development, and Animal and Plant Health Inspection Service; other non-USDA Government agencies, such as the Agency for International Development, Departments of Defense and Commerce, and the National Science Foundation; State universities; and international institutions, such as the Food and Agriculture Organization, World Bank, International Atomic Energy Agency, and World Health Organization-to produce the greatest benefits from research and technical-exchange programs.

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