UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
Mav 24 1994
* ' OFFICE OF THE ADMINISTRATOR
SCIENCE ADVISORY BOARD
EPA-SAB-EEC-COM-94-004
ENVIRONMENTAL
Honorable Carol M. Browner PROTECTION
Administrator AGENCY
U. S. Environmental Protection Agency HAM AC TC\X**
401 M Street, S.W. DAUAS> TEXAS
Washington, D.C. 20460
Subject: Commentary on Strategic Research and Development Planning
Dear Ms. Browner:
EPA's program offices have often developed research and development
"strategic plans," and presented these to the Science Advisory Board (SAB) for review
and evaluation. The SAB has been supportive of the need for strategic research
planning. However, the SAB has also often been critical of the plans due to a number
of deficiencies, including lack of a vision statement, lack of definition of measures of
success, failure to take into account critical factors essential to developing the
strategic plans, and lack of priority setting mechanisms. In addition, the strategic
research plans have been varied in format, content and approach. It must also be
acknowledged that the SAB itself has provided inconsistent comments relative to what
should be included in strategic plans during the evolution of the planning process at
EPA.
It is important to recognize that strategic planning is an integral part of an
overall management system with provisions for budgeting, prioritizing, planning,
implementation and oversight of the research program. It is especially important
because strategic planning provides the overall guidance for the other activities.
It is essential that the EPA develop strategic research and development plans
in a number of critical core topic areas. In order to direct optimally EPA research and
development toward the important high priority environmental issues of today and in
the future, and to optimize the use of limited resources, EPA should adopt and
implement a consistent, reliable and comprehensive approach to strategic research
planning. Guided by this approach, EPA should develop research and development
Rtcycted/Recyctabli
Pflfttod on ftfte lhat contain*
« l*«t 75% mcyctod OMT
-------
strategic plans that provide both continuity with long-range research while being
responsive to changing environmental issues.
In view of the apparent deficiencies noted in past reviews, and the importance
of strategic R&D planning, the Environmental Engineering Committee (EEC) recom-
mends that EPA adopt a defined approach for strategic R&D planning for the Agency
that builds upon concepts now being used by industry and other government institu-
tions. EPA's approach will need to be adaptable to changing needs of the Agency.
In the last several years, applied strategic planning models that incorporate new
concepts, such as strategic intent and core competencies, have emerged as important
aids for the development of strategic decisions using analytical processes (see for
example, the programs underway at AT&T, Colgate-Palmolive, 3M, Eastman Kodak
and Northrup). There are a number of schools of thought on the best process but the
basic tenets are similar. These processes include not only what the plans should
entail, but also how to involve the appropriate personnel in the process so that they
are committed to deploying the plan after it has been formulated. The EPA should
take advantage of these advances in modern management theory and employ the
basic tenets of these processes for strategic planning.
EPA's Region I successfully used one of these models for developing a
strategic plan for the region (U. S. Environmental Protection Agency Region I, Building
an Environmental Protection Ethic: A Strategic Plan," Boston, Massachusetts, March
1991). This process involved the development of a vision statement, a definition of a
mission, conducting an assessment of the region's strengths, weaknesses, external
opportunities, and threats, defining strategic initiatives, and defining metrics of
success. While we do not endorse this specific approach used by Region I as the only
approach, it is one example of how to successfully conduct strategic planning.
Whatever the approach selected, it must be adapted to the special needs of environ-
mental research and development.
The Committee is aware of the fact that you have recently directed your staff to
develop an Agency-wide strategic plan to be released this spring. We have not had
the opportunity to review this process, but we applaud your leadership and vision in
initiating strategic planning at the Agency level. We encourage you to implement this
activity on a continuous basis throughout the Agency at all levels.
-------
In summary, the EEC recommends that:
a) EPA adopt and implement a consistent, reliable and comprehensive ap-
proach to strategic planning for EPA research and development
b) EPA consider the several models presented earlier in this letter as it
develops this comprehensive approach
c) There should be a particular locus for such strategic planning within
EPA for successful ongoing implementation
We would be pleased to suggest ways that this could be accomplished or to
review the Agency-wide strategic planning process in the future.
Sincerely yours,
r. Genevieve M Matanoski, Chair
Science Advisory Board
Dr. Wm. Randall Seeker, Chair Dr. Ishwar P. Murarka, Chair
Strategic Research Subcommittee Environmental Engineering Committee
-------
NOTICE
This report has been written as a part of the activities of the Science Advisory
Board, a public advisory group providing extramural scientific information and advice
to the Administrator and other officials of the Environmental Protection Agency. The
Board is structured to provide a balanced expert assessment of scientific matters re-
lated to problems facing the Agency. This report has not been reviewed for approval
by the Agency; and hence, the contents of this report do not necessarily represent the
views and policies of the Environmental Protection Agency or other agencies in
Federal government. Mention of trade names or commercial products does not
constitute a recommendation for use.
-------
ABSTRACT
Strategic Research and Development Planning is the subject of a commentary
by the Environmental Engineering Committee of the EPA Science Advisory Board.
The Committee (1) recommends that EPA adopt and implement a consistent, reliable
and comprehensive approach to strategic planning for EPA research and develop-
ment, (2) recommends that EPA consider the several models presented earlier in this
letter as it develops this comprehensive approach, and (3) suggests that there be a
particular locus for such strategic planning within EPA for successful ongoing imple-
mentation. We would be pleased to suggest ways that this could be accomplished cr
to review the Agency-wide strategic planning process in the future.
Strategic planning is an integral part of an overall management system with
provision for budgeting, prioritizing, planning, implementation and oversight of the
research program. It is especially important because strategic planning provides the
overall guidance for the other activities.
The SAB has often been critical of the plans due to a number of deficiencies including
lack of a vision statement, lack of definition of measures of success, not taking into
account critical factors essential to developing the strategic plans, and lack of priority
setting mechanisms. In addition, the strategic research plans have been varied in
format, content and approach. EPA should adopt and implement a consistent, reliable
and comprehensive approach to strategic research planning to develop research and
development strategic plans that provide both continuity with long-range research
while being responsive to changing environmental issues.
The Environmental Engineering Committee of the SAB recommends that EPA
adopt a defined approach for strategic R&D planning for the Agency that builds upon
concepts now being used by industry and other government institutions. EPA's
approach will need to be adaptable to changing needs of the Agency. The Committee
notes successful industrial and EPA regional use of methodologies involving the
development of a vision statement, a definition of a mission, conducting an assess-
ment of the region's strengths, weaknesses, external opportunities, and threats,
defining strategic initiatives, and defining metrics of success/While we do not endorse
this specific approach used by Region I as the only approach, it is one example of
how to successfully conduct strategic planning. Whatever the approach selected, it
must be adapted to the special needs of environmental research and development.
KEYWORDS: strategic, research, planning, vision
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY JAN14J994
Science Advisory Board
Environmental Engineering Committee
Members and Consultants
Chairman
Dr. Ishwar P. Murarka, Manager, Waste, Land & Water Programs
Environmental Division,Electric Power Research Institute
3412 Hillview Avenue, Palo Alto, California
Members
Dr. Linda M. Abriola, Associate Professor, University of Michigan
Dept. of Civil and Environmental Engineering, Ann Arbor, Michigan
Mr. Richard A. Conway, Senior Corporate Fellow
Union Carbide Corporation, So. Charleston, WV
Dr. James H. Johnson, Jr., Professor and Chairman
Dept. of Civil Engineering, Howard University, Washington, DC
Dr. Wayne M. Kachel, Director of Corporate Environmental Health and Saftey,
Southern Regional Office, Martin Marietta Corporation, Oak Ridge, Tennessee
Dr. Jo Ann Lighty, Assistant Professor
University of Utah, Salt Lake City, Utah
Dr. James W. Mercer, President, GeoTrans, Inc., Sterling, VA
Dr. Frederick G. Pohland, Weidlein Chair of Environmental Engineering
Department of Civil Engineering, University of Pittsburgh
Pittsburgh, Pennsylvania
Dr. Robert B. Pojasek, Corporate Vice President/Environmental Programs
GEI Consultants, Inc., Winchester, MA
Dr. Wm. Randall Seeker, Senior Vice President
Energy & Environmental Research Corp., Irvine, California
Dr. Walter M. Shaub, President, CORRE, Inc., Reston, Virginia
-------
Distribution List:
Administrator
Deputy Administrator
Assistant Administrators
Regional Administrators
Office of Policy, Planning and Evaluation
------- |