ATTACHMENT IV SERIES 4000 - RESEARCH -Exhibit 1 PROGRAM FORMULATION AND DOCUMENTATION DEVELOPMENT OF USDA GOALS DEVELOPMENT AND DESCRIPTION OF FOREST SERVICE LONG-RANGE PROGRAM (10-year forestry research program) ATTACHMENT V INTERIM GUIDELINES ON MANAGEMENT AND DOCUMENTATION OF MULTIFUNCTIONAL AND MULTIPROJECT RESEARCH ORGANIZATION Several organizational possibilities for multifunctional and multiproject research have been implemented or proposed. All can be classified in one of two general categories. Multifunctional Research Work Unit (MFRWU).—Research involving two or more functions in a single research work unit. Financing is by two or more budgetary line items. Technical supervision and guidance are provided by the Project Leader. Administrative responsibility is assigned to a single Assistant Director, as for any other RWU. Functional supervision and inspection from the WO involve all concerned Divisions. Multiproject Program (MPP).-Research involving two or more research work units at one or more Stations. More than one function or line item is usually involved, but single function, multiple project programs are also included. Individual functional research work units contribute all or a portion of their effort toward attaining the program's objectives. Funding is provided through each research work unit. Technical supervision of functional research is by the Project Leaders of participating research work units. Administrative responsibility is assigned to one individual such as an Assistant Director, Project Leader, or key scientist. Overall planning and direction of the program are by an individual or group designated by the Station Director(s). An Assistant Director, Project Leader. or Program Steering Committee are among the possibilities. In some cases a single project may function as a core unit for the entire program with its Project Leader or a key scientist serving as the focal point for program management. Rigid guidelines for the organization of these efforts are not proposed. The wide variation in problems, people, and programs dictates the need for as much organizational flexibility as possible. A number of systems need to be tested. Several "best ways" will probably emerge. DOCUMENTATION We believe the following documentation procedures to be sufficiently flexible to accommodate any of the organizational possibilities that may develop, while still satisfying our needs for coordination and information. Multifunctional Research Work Units.-All requirements and procedures are the same as for standard RWU's except: 1. The Research Work Unit Description and CRIS Form AD 416 (Research Resume) should clearly identify the unit as multifunctional and include information on the approximate proportions of effort to be contributed by each function. 2. All WO Division Directors concerned will sign or initial the above documents as "recommended" and review the annual reports. 3. A separate CRIS Form AD 418 (Research Funds and Manpower) for each function will be prepared by the Station. Multiproject Program.-The decision on when informal cooperation between research work units should be formally documented as an MPP rests with the Station Director(s). As a general guide, documentation should be considered if the effort will exceed two or three SMY's for a period of 1 to 2 years. The usual documents required for participating RWU's will constitute the basic documentation for the MPP. Stations may also wish to prepare other more detailed MPP planning documents on a formal or informal basis. The following supplementary MPP documents are required: 1. A Multiproject Program Description (analogous to the RWU Description) to be prepared by the Station(s). Problems selected will be identified as will participating RWU's and their general assignments. Problem statements in the MPP description should emphasize the multifunctional importance of each problem, but full justification statements will remain in the RWU descriptions. An outline of the MPP's organization, coordination, and administration should be included. WO Division Directors concerned will sign or initial this document as "recommended" for approval by the Station Director(s) and Deputy Chief. CRIS Form AD 416 (Research Resume) will not be prepared. 2. Following approval of the multiproject program description, descriptions of the participating research work units should be revised or amended by the Station as necessary. The decision on whether to amend or to revise an RWU description will depend upon deletion or addition of an assigned problem. In many cases research contributing to the MPP will already be covered in the RWU description and an amendment will suffice. The amendment should identify the MPP problem (s), cross reference it as appropriate to other RWU's, and make any minor changes necessary in problem descriptions and justifications. Review, approval, and concurrence procedures for amendments are the same as for revisions. If a problem is added or deleted, a revision of the RWU description is required. Revisions should include the identical problem statement assigned in the MPP description, identified as an MPP problem, fully justified and crossreferenced as appropriate to other RWU's. Each participating RWU will then prepare problem analyses and study plans, or existing problem analyses and study plans can be revised as needed. 3. Participating WO Divisions will complete CRIS Form AD 417 (Classification of Research) for the program for inhouse use. It will not be submitted to the Department. CRIS Form AD 417 for participating RWU's will be amended as necessary and submitted to CRIS. 4. A Multiproject Program Annual Report (analogous to the RWU Annual Report and due at the same time to be prepared by the Station (s). This report should emphasize contributions to the solution of the central problem and synthesize research results insofar as possible. Cross referencing to RWU annual reports will provide the annual report. CRIS Form AD 421 (Progress Report) will not be prepared. 5. An Annual Report of Funds and Manpower for inhouse use to be prepared by the Stations. Format will be as shown in Exhibit 1, attached. Entries are estimates and should be rounded to the nearest $1000 and 0.1 SMY. Due at the same time as CRIS Form AD 418 for RWU's. CRIS Form 418 will not be prepared for the MPP. COORDINATION Washington Office.—There is a tendency for one or more of the WO Divisions concerned with a given MFRWU or MPP to lose sight of its interest and responsibilities with the passage of time, changes in personnel, etc. This has often been the case when a Division's share of the program is relatively minor. To help remedy this a "Coordinating Division" has been designated for each MFRWU or MPP included in the Program for the Seventies. For the MPP's, Coordinating Divisions are identified on page 185 of the Program for the Seventies, following the MPP title. For MFRWU's, the Coordinating Division is indicated by the first two digits, i.e., 11-15, TMR; 16-19, FER; 21, FASR: 22-23, FIDR: 31-37, FPER; and 41-43, FEMR. To avoid confusion with standard Research Work Units, all MFRWU's are designated by a 5 in the third digit of their identifying number, i.e., SE 1750 or PSW 2253. The Coordinating Division is responsible for keeping all participating Divisions fully informed of developments in the MFRWU or MPP and for coordinating all WO activities, such as budgeting, concerning it. Stations.-One individual, designated by the Station Director, should be assigned basic administrative responsibility for each MFRWU or MPP. This will insure that documentation is complete. reporting deadlines are met, and coordination is effective. For MPP's, an Assistant Director would be a logical choice, but others, such as Project Leader of a core unit, may also be designated. For MFRWU's an Assistant Director will always be administratively responsible. This individual is also responsible for maintaining coordination with all WO Divisions concerned. Copies of all documentation and correspondence between the Station and WO concerning the MFRWU or MPP should be sent directly to each interested Division. Interstation. When MPP's involve more than one Station (e.g.. SO MPP-2, Environmental Systems-Ozarks), the Station identified in the MPP number is designated as Coordinating Station for the Program. The individual assigned administrative responsibility for the MPP by the Coordinating Station will be the key contact point for the WO. Other participating Stations should also designate an administratively responsible individual for their portions of the MPP. He will function as contact point for coordination between Stations. MPP planning and technical direction can be arranged in any manner agreed upon by participating Station Directors. FINANCING Funding of multifunctional efforts may present problems, with imbalance of funds among functions often the biggest stumbling block. Within the limits of their authority, Station Directors can make functional adjustments to provide necessary funds. Where new funds are required, Stations should package their requests, and the funds required in each function to support the package should be shown. In the WO, the Divisions concerned, under the leadership of the Coordinating Division Director, will coordinate the functional distribution of increases required at various levels of financing. The Deputy Chief's office will make every effort to maintain the integrity and identity of these packages throughout the budgeting process. In addition, we will work with B&F to alleviate discrepancies between functional appropriations and expenditures, insofar as possible, adjusting allotments among Stations and between Stations and the unallotted functional balances held in the WO. In some cases we may request Congressional approval for base transfers to accommodate financing of multifunctional research. QUESTION S. What important questions, if any, are you unable to research adequately within your existing research structure? What are the main hindrances to proceeding with such research? ANSWER. There are no barriers to research productivity which are the result of our existing research structure. A high degree of coordination and research planning exists within USDA and with cooperative State institutions. The principal hindrances to proceeding with needed research are the usual ones of insufficient funds and insufficient personnel. A large number of potentially productive research projects have been elaborated but have not been initiated simply because of a lack of funds and lack of positions for specialized equipment. Among high priority physical and socioeconomic studies which must be deferred are: 1. Response of ecosystems to soil and water management practices and changes in soil and water caused by natural or man induced changes in the ecosystem. 2. Response of the environment to introducing various quantities of wastes of different composition on the land. 3. Response of the environment to large scale shifts in vegetation, availability of water, and production practices. 4. Analyses of environmental, economic and social consequence of agricultural pollution. 5. Analyses of national and regional trends and potentials in land use. 6. Development and testing of improved methods and standards for multiobjective resource planning. 6. Development and testing of improved methods and standards for multiobjective resource planning. 7. Develop guidelines for organization and cooperation of local and State jurisdictions for land use planning to achieve environmental quality objectives. 8. Develop better methods for utilization and disposal of forest residues. 9. Determine total environmental consequences of forest management and use activities, including impacts on water quality, aesthetics, wildlife habitat, and recreation potentials. 10. Develop accurate baseline ecological and environmental data for major forest and range ecosystems. |