CHAPTER 5 

 MANAGEMENT OF BASIC RESEARCH IN THE MISSION AGENCIES 



Missions and Objectives 



Part I contains agency interpretations of their 

 stated missions. These are generally derived from 

 their enabling legislation, from appropriations, 

 and from other legislation. New laws frequently 

 necessitate some reorientation of the agencies' 

 programs, requiring them to review their objec- 

 tives to insure these remain relevant to their mis- 

 sions. 



The agencies show a striking similarity in their 

 research objectives. In general, they formulate 

 and support basic research that will enable them 

 to accomplish their missions more effectively. The 

 National Institute of Education (NIE), for exam- 

 ple, is concerned with finding ways to develop 

 new policy initiatives that will aid in understand- 

 ing the learning process. The Department of La- 

 bor supports research exploring the interactions 

 of people and their behavior patterns in personal 

 and group negotiations. The National Aeronautics 

 and Space Administration (NASA) conducts basic 

 research that supports its mission or expands 

 knowledge in fields of science relevant to its mis- 

 sion. The reliance of the military services on im- 

 proved weaponry has made them conscious of the 

 need for fundamental scientific studies. The Office 

 of Naval Research (ONR) has a statutory respon- 

 sibility "to plan, foster, and encourage scientific 

 research in recognition of its paramount import- 

 ance as related to the maintenance of future naval 

 power and the preservation of national security."' 

 To improve its services, the National Oceanic and 

 Atmospheric Administration (NOAA) aims at re- 

 search that will increase the general understanding 

 of atmospheric and oceanic processes. The U.S. 

 Geological Survey and the Office of Water Re- 

 search and Technology (OWRT) conduct research 

 in geology as part of their mission responsibilities 

 for resources. 



Organization 



While each agency's organizational pattern of 

 support for basic research is different, each gener- 

 ally employs key people who have responsibility 

 for research program management. The senior 

 research director or manager assumes overall re- 

 sponsibility. Middle managers are concerned with 



'Public Law 5S». 79th Congress (1946). 



several programs in a selected general area. Sub- 

 ject area managers or program directors are re- 

 sponsible for reviewing project proposals in their 

 particular fields. Staff members and reviewers 

 evaluate proposals, and consultants analyze 

 trends, suggest thrust areas, and review programs. 

 In addition, each agency has budget, grant, and 

 contract officers. Perusal of the agencies' own 

 reports in Part I indicates that job responsibilities 

 are similar; they vary primarily in the degree of 

 authority granted the different officials. The orga- 

 nization of authority and the basic scientific man- 

 agement capabilities of the managers are the ma- 

 jor determinants of program quality. 



The Decisionmaking Process 



Selection of what basic research projects will 

 be carried out by agency stalf in their own labora- 

 tories or by scientists in outside laboratories be- 

 gins with a research plan, prepared on the basis of 

 the agency's overall mission requirements. The 

 plan is the result of an annual long-range planning 

 process during which program suggestions are so- 

 licited from all levels in the organization. The 

 suggestions generally are in the form of studies, 

 which are sorted, selected, consolidated, and then 

 circulated to all concerned staff for comment. The 

 plan serves as a basis for preparing budgets and 

 as a guide for program implementation when 

 funds have been appropriated. 



Mechanisms for Initiation and Termination of 

 Basic Research Projects 



The specific missions of individual agencies 

 affect the types of plans and the mechanisms they 

 use in planning. Agencies derive their research 

 programs from past plans, from suggestions aris- 

 ing out of related research, from staff doing simi- 

 lar research, and from past proposals. Because in 

 most agencies clear directives for basic research 

 are not stated separately as a primary responsibili- 

 ty, such plans often are incorporated in general 

 research plans. Basic research plans, therefore, 

 can be expected to relate to overall R&D activi- 

 ties. When problems arise in an agency's R&D 

 activities, one of the reasons may be the lack of 

 basic knowledge. 



The selection of research topics from those out- 

 lined in the general plan depends largely on the 



MANAGEMENT OF BASIC RESEARCH IN THE MISSION AGENCIES 267 



