Appendix B
Program Evaluation

Management Control Automated Surveys

In addition to the discipline, region, and office specific reviews, management control automated surveys were sent to employees of the Amphibian Research and Monitoring Initiative (ARMI), the Missouri Water District, and the Columbia Environmental Research Center (CERC). The employees were asked to evaluate 6 aspects of management control in their center or district:

Organizational Control and Environment
Are the goals, objectives, policies, and procedures conducive to achieving sound management controls? Does management place a high level of importance on management integrity and ethics?

Risk Management
Do employees and managers identify, assess, and consider the consequences of events that could prevent the achievement of its goals and objectives, and result in significant loss of resources?

Program Effectiveness
Does the center or district have a strategic planning system that employs performance measures to provide for comparison of planned outcomes and results against actual outcomes and results?

Resource Stewardship
Are resources safeguarded and managed in a manner consistent with the center or district's mission and laws and regulations?

Regulatory Compliance
Does the center or district's operations comply with the applicable laws, regulations, and executive orders?

Management Information
Is reliable and timely information obtained, maintained, reported, and used for decision making at all levels of the center or district?

In addition, respondents were asked if there were any other management control issues or concerns they would like to bring to the attention of senior management, and if there were any management control best practices they think should be shared with other offices in the Bureau.

The results of the self-assessment survey will assist the ARMI and CERC and MO district managers to improve the effectiveness of center or district management, and will also be used to support the conclusions expressed in the Director's Annual Assurance Statement to the Secretary of the Interior. This is one in a series of on-going reviews of management practices in USGS programs and organizational units. The results of the surveys are detailed in the following pages.

Amphibian Research and Monitoring Initiative (ARMI) -- The Amphibian Research and Monitoring Initiative (ARMI) monitor trends in amphibian populations on DOI lands and study the causes of declines. ARMI includes efforts from three USGS disciplines: Biology, Hydrology, and Geography, as well as cooperation with the National Park Service, Fish and Wildlife Service, and Bureau of Land Management. The monitoring program is coordinated by USGS herpetologists who collaborate with USGS hydrologists and geographers in seven regions across the country. Data are managed jointly by the Patuxent Wildlife Research Center and the Western Ecological Research Center. Oversight is provided by a Steering Committee from outside the USGS.

An automated management control survey was sent to 52 ARMI employees spread across 10 science centers and 3 disciplines; 38 employees responded with a participation rate of 73 percent. ARMI respondents rated above the DOI standard in four areas (Organizational Control and Environment, Program Effectiveness, Resource Stewardship, and Management Information); but were at or slightly below in two areas (Risk Management and Regulatory Compliance).

There are no management control concerns in the areas of Resource Stewardship or Management Information. There was broad agreement with all statements from all respondents.

Amphibian Research and Monitoring Initiative: organizational control and environment, 3.0; risk management, 2.49; program effectiveness, 2.85; resource stewardship, 3.11; regulatory compliance, 2.39; management information, 3.02. See http://www.doi.gov/pfm/mgmtcont.html for more information on management accountability and DOI standards   A message from ARMI National Coordinator:
"The results of the ARMI Management Control Self-Assessment reveal that most USGS investigators and managers consider it to be an effective program that delivers relevant and timely scientific information. This is a testament to the dedication and professionalism of everyone involved in ARMI-sponsored research and monitoring projects nationwide. Nevertheless, it is clear that more work needs to be done in developing a common vision of where ARMI is heading and how it 'fits in' with other USGS science programs. You can expect to see and hear more about this in the months ahead!"


There are pockets of management control concerns in the areas of Organizational control and environment and Program effectiveness. In the area of Organization Control and Environment some employees disagreed that there are clearly defined key areas of authority and lines of reporting. Some employees also expressed doubt that management provides needed training or the proper amount of supervision. In the area of Program effectiveness, some employees disagreed that the ARMI program has an effective reward system or appropriate performance measures.

There were some management control concerns in the areas of Risk Management and Regulatory Compliance. In the area of Risk Management, some employees disagreed that the ARMI program has identified risks or implemented appropriate checks and balances. In the area of Regulatory Compliance few employees reported having been trained about the relevant laws, regulations, and executive orders. Some employees disagreed that the ARMI program could identify or resolve instances of non-compliance.

Missouri Water District -- The mission of the Missouri District of the Water Resources Division of the U.S. Geological Survey is to provide the hydrologic information and understanding needed for optimum utilization and management of water resources throughout the State.
Missouri Water District: organizational control and environment, 2.02; risk management, 2.91; program effectiveness, 2.71; resource stewardship, 3.07; regulatory compliance, 2.78; management information, 3.04. See http://www.doi.gov/pfm/mgmtcont.html for more information on management accountability and DOI standard   A message from Missouri Water District Chief:
"I want to thank everyone who took the time to complete this survey, especially since it came during the field season when you are extremely busy. We will evaluate the results and implement actions to address the areas of concern, particularly the regulatory/compliance and human resources areas."


An automated management control survey was sent to all employees and managers in the Missouri Water District. A total of 64 employees were surveyed; 58 employees responded to the survey for a participation rate of 87.5 percent. The respondents rated above the DOI standards in all six management control areas addressed in the survey. There were some pockets of concern in program effectiveness (some employees disagreed that there were appropriate performance feedback or effective rewards) and regulatory compliance (some employees disagreed that non compliance issues were identified or resolved).

Columbia Environmental Research Center (CERC) is a USGS research facility located in Columbia, Missouri. The Center provides scientific information and data needed to address national and international environmental contaminant issues, and effects of habitat alterations on aquatic and terrestrial ecosystems. The Center has a unique capability for conducting multidisciplinary research that includes large river floodplains, coastal habitats, wetlands, streams, and lakes. Scientists at CERC form partnerships with national, state, and local agencies, nongovernmental organizations, and universities to enhance scientific information needed for management of the nation's resources.

Columbia Environmental Research Center: organizational control and environment, 3.13; risk management, 3.03; program effectiveness, 3.08; resource stewardship, 3.24; regulatory compliance, 3.29; management information, 3.11. See http://www.doi.gov/pfm/mgmtcont.html for more information on management accountability and DOI standard

A management control survey was sent to all employees in the CERC; a total of 99 employees. This included 82 employees at Columbia and 17 employees at 6 field stations. Of the 99 employees, 62 responded to the survey for a participation rate of 63 percent; 55 responses came from employees located at Columbia (67%: 55 of 82) and 7 responses came from employees located at 3 of the 6 field stations (41%: 7 of 17). The respondents rated above the DOI standards in all six management control areas addressed in the survey. There were no significant areas of concern.

U.S. Department of the Interior, U.S. Geological Survey
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