Detailed Information on the
Counterdrug Research & Development Assessment

Re-focus the CTAC Research Program to fund projects to support strategic initiatives targeting market aspects of drug trafficking and consumption.

Reduce the amount of time between the development of project Statements of Work and contract awards.

Developing a performance measurement system, including acceptable goals and timeframes.

Reviewing the project selection process and determining whether projects funded are consistent with the priorities of the National Drug Control Strategy.

Making program improvements consistent with the recommendations of a recently completed management assessment.

Measure: Percent of CTAC research projects that form the basis of or contribute to policy or program direction (New measure, added February 2008)

Explanation:Assesses the degree to which results from CTAC research projects have had an impact on shaping policy.

Measure: Number of research projects initiated to expand understanding of both the demand- and supply-side of illegal drug markets

Explanation:This measure gauges the degree to which research proposals from ONDCP and other drug control agencies are funded.

Is the program purpose clear?

Explanation: ONDCP's authorizing statute directs the Counter'Drug Technology Assessment Center (CTAC) to serve 'as the central counter'drug technology research and development organization of the United States Government.' The statute also specifies the following six specific responsibilities of CTAC: identify and define the short-, medium-, and long-term scientific and technological needs of Federal, State, and local drug supply reduction agencies; identify demand reduction basic and applied research needs and initiatives; in consultation with affected National Drug Control agencies, prioritize the needs identified according to fiscal and technological feasibility; oversee and coordinate counter drug technology initiatives with related activities of other Federal civilian and military departments; provide support to the development of the national drug control performance measurement system; and submit requests to Congress for the reprogramming or transfer of funds appropriated for counter drug technology research. Grant authority appears to be derived from annual appropriations acts.

Evidence: Authorizing Statute (21USC1703); various annual appropriations acts.

Does the program address a specific and existing problem, interest, or need?

Explanation: In FY 2004 more than ten Federal drug control agencies requested $1B for drug-related research, the overwhelming majority of which was for demand reduction research. The potential for overlap, inadequate coordination, and missed opportunities is substantial. CTAC's responsibility is to attempt to alleviate these potential problems.

Evidence: ONDCP FY 2004 Congressional Budget Submission (includes Performance Plan); CTAC Research and Development Blueprint Update, 2003 (ONDCP) ; discussions with ONDCP staff.

Is the program designed so that it is not redundant or duplicative of any Federal, state, local or private effort?

Explanation: ONDCP/CTAC's R&D responsibilities do not excessively overlap with other Federal programs. The responsibility for coordinating Federal counter'drug technology research and development is CTAC's alone. The R&D funding that it provides is less than 2% of Federal funds for drug control research. In recent years, the majority of that funding has been used to provide neuroimaging technologies to research centers that support the efforts of NIDA-funded research teams to further the knowledge related to substance abuse and addiction.

Evidence: Authorizing Statute (21USC1703); CTAC Research and Development Blueprint Update, 2003 (ONDCP)

Is the program design free of major flaws that would limit the program's effectiveness or efficiency?

Explanation: The CTAC R&D program is free from major design flaws and there is no evidence that another approach to coordinating Federal drug control research would produce better results.

Evidence: Authorizing Statute (21USC1703)

Is the program effectively targeted, so program resources reach intended beneficiaries and/or otherwise address the program's purpose directly?

Explanation: ONDCP does not prioritize R&D proposals submitted to CTAC by Federal agencies. Annual meetings of the Interagency Working Group for Technology (IAWG-T), which is comprised of representatives from each of the Federal drug control agencies, is reported to be the established mechanism for meeting this responsibility. At those meetings, participating agencies propose research and development projects to meet their needs. Those proposals that have multi-agency support are included in a Broad Agency Announcement (BAA), which requests proposals for all the R&D needs identified by the IAWG-T members. However, there is no evidence from the program documents that the needs identified by the IAWG-T are prioritized by ONDCP/CTAC. Responses to the BAAs are reviewed by agency staff and other experts to determine whether they are possible within the resources available and other experts and to assess the technical merits of the proposal.

Evidence: CTAC Research and Development Blueprint Update, 2003 (ONDCP); discussions with ONDCP/CTAC staff.

Does the program effectively articulate potential public benefits?

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If an industry-related problem, can the program explain how the market fails to motivate private investment?

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Does the program have a limited number of specific long-term performance measures that focus on outcomes and meaningfully reflect the purpose of the program?

Explanation: CTAC has recently established long-term performance measures that reflect the two goals of the R&D program: improving the quality of drug abuse and drug addiction research and improving the quality of drug-related criminal investigations. Although the measures are output measures, they are appropriate for R&D programs due to the often very long-term and indirect effects of funded research.

Evidence: ONDCP FY 2005 Performance Plan and discussions with ONDCP/CTAC staff.

Does the program have ambitious targets and timeframes for its long-term measures?

Explanation: CTAC does not currently have specific targets and timeframes in place for its R&D grant component. However, targets and timeframes are under development.

Evidence: ONDCP FY 2005 Performance Plan and discussions with ONDCP/CTAC staff.

Does the program have a limited number of specific annual performance measures that demonstrate progress toward achieving the program's long-term measures?

Explanation: CTAC has recently established annual measures that reflect the two goals of the R&D program: improving the quality of drug abuse and drug addiction research and improving the quality of drug-related criminal investigations.

Evidence: ONDCP FY 2005 Performance Plan and discussions with ONDCP/CTAC staff.

Does the program have baselines and ambitious targets and timeframes for its annual measures?

Explanation: CTAC does not currently have baselines and targets in place for all of its R&D annual measures. However, targets and timeframes are under development.

Evidence: ONDCP FY 2005 Performance Plan and discussions with ONDCP/CTAC staff.

Do all partners (including grantees, sub-grantees, contractors, cost-sharing partners, etc.) commit to and work toward the annual and/or long-term goals of the program?

Explanation: CTAC long-term and annual goals have been established very recently and CTAC does not currently have procedures in place to require grantees to commit those goals. CTAC is developing those procedures at this time.

Evidence: ONDCP FY 2004 Congressional Budget Submission (includes Performance Plan)

Are independent and quality evaluations of sufficient scope and quality conducted on a regular basis or as needed to support program improvements and evaluate effectiveness and relevance to the problem, interest, or need?

Explanation: There has not been an independent evaluation of CTAC's responsibilities other than the 1998 GAO report.

Evidence: "Drug Control: Planned actions Should Clarify Counterdrug Technology Assessment Center's Impact," GAO (February 1998)

Are Budget requests explicitly tied to accomplishment of the annual and long-term performance goals, and are the resource needs presented in a complete and transparent manner in the program's budget?

Explanation: ONDCP has not provided budget requests that make clear the impact of funding, policy, or legislative decisions on expected performance and explains why the requested performance/resource mix is appropriate. This is largely due to the absence of adequate program performance measures in past years.

Evidence: ONDCP FY 2004 Congressional Budget Submission (includes Performance Plan); CTAC Research and Development Blueprint Update, 2003 (ONDCP) ; discussions with ONDCP staff.

Has the program taken meaningful steps to correct its strategic planning deficiencies?

Explanation: CTAC has established acceptable long-term and annual performance measures, is developing baselines, targets, and timeframes for those measures, and has committed to improving program descriptions and documentation made available to the public.

Evidence: Discussions with ONDCP staff.

If applicable, does the program assess and compare the potential benefits of efforts within the program to other efforts that have similar goals?

Explanation: No comparisons with other programs appear to have been made. Information provided by CTAC only describes other programs and offers no assessments of their relative benefits.

Evidence: Information provided by CTAC on other agency programs is found in Appendix C of the CTAC Research and Development Blueprint Update, 2003 (ONDCP) .

Does the program use a prioritization process to guide budget requests and funding decisions?

Explanation: As indicated in response to question 1.5 above, ONDCP does not prioritize R&D proposals submitted to CTAC by Federal agencies.

Evidence: CTAC Research and Development Blueprint Update, 2003 (ONDCP); discussions with ONDCP/CTAC staff.

Does the agency regularly collect timely and credible performance information, including information from key program partners, and use it to manage the program and improve performance?

Explanation: ONDCP/CTAC holds monthly and quarterly meetings with technical and contracting agents to review progress and plans for funded projects. Although these meetings do not review true outcome information, the R&D programs are assessed on the use of process measures.

Evidence: ONDCP FY 2004 Congressional Budget Submission (includes Performance Plan)

Are Federal managers and program partners (grantees, subgrantees, contractors, cost-sharing partners, etc.) held accountable for cost, schedule and performance results?

Explanation: CTAC contracting technical agents have full authority to terminate any project for cost, schedule or performance reasons and that it has periodically recalled funds from an agent for cost, schedule or performance reasons pending resolution of identified issues. However, ONDCP has not incorporated performance measures into the performance standards for CTAC staff.

Evidence: The assessment is based on discussions with the agency and program manager vacancy announcements.

Are all funds (Federal and partners') obligated in a timely manner and spent for the intended purpose?

Explanation: CTAC uses interagency agreements to transfer appropriated funds to its technical and contracting agents. These agreements are prepared in advance of apportionment so that funding may be transferred as soon as it becomes available. There have been no negative findings from audits or other financial reviews.

Evidence: Treasury reports on obligations.

Does the program have procedures (e.g., competitive sourcing/cost comparisons, IT improvements, approporaite incentives) to measure and achieve efficiencies and cost effectiveness in program execution?

Explanation: Currently, CTAC does not have any efficiency measures and targets, such as per-unit cost of outputs, timing targets, program overhead costs, average times to fund competitive awards, or other indicators of efficient and productive processes germane to the program.

Evidence: Discussions with ONDCP staff.

Does the program collaborate and coordinate effectively with related programs?

Explanation: CTAC participates in periodic reviews, meetings, and other forums sponsored by agencies with related programs. CTAC uses these meetings to identify research needs and issues BAAs seeking proposals to address those needs.

Evidence: Discussions with ONDCP staff.

Does the program use strong financial management practices?

Explanation: CTAC's Technical and Contracting agents, are audited by the Defense Contract Audit Agency. No material internal control weaknesses, reports of erroneous payments, or the failure of financial management systems to meet statutory requirements have been identified.

Evidence: Army Audit Agency (AAA) audits, per ONDCP Financial Management Staff.

Has the program taken meaningful steps to address its management deficiencies?

Explanation: CTAC has committed to improving program descriptions and documentation made available to the public.

Evidence: Discussions with ONDCP staff.

Are grants awarded based on a clear competitive process that includes a qualified assessment of merit?

Explanation: CTAC's technical and contracting agents use competitive procurement procedures (Broad Agency Announcements, Sources Sought and RFPs) to contract for R&D efforts. Each proposal is evaluated by government subject matter experts and awards are based on best overall value to the government.

Evidence: Review of CTAC Broad Agency Announcements (BAA), discussions with ONDCP staff.

Does the program have oversight practices that provide sufficient knowledge of grantee activities?

Explanation: CTAC holds monthly meetings with technical and contracting agents to report on overall progress. In accordance with CTAC's requirements, these agents hold quarterly program reviews for each project.

Evidence: ONDCP FY 2004 Congressional Budget Submission (includes Performance Plan); CTAC Research and Development Blueprint Update, 2003 (ONDCP) ; discussions with ONDCP staff.

Does the program collect grantee performance data on an annual basis and make it available to the public in a transparent and meaningful manner?

Explanation: Development program. However, the measures were just recently established and there are no performance data available. Previous performance measures were reported annually in the CTAC "Blueprint." However, that information was very limited.

Evidence: ONDCP FY 2004 Congressional Budget Submission (includes Performance Plan); CTAC Research and Development Blueprint Update, 2003 (ONDCP) ; discussions with ONDCP staff.

Does the program allocate funds through a competitive, merit-based process, or, if not, does it justify funding methods and document how quality is maintained?

Explanation: The CTAC R&D program is a competitive grant program.

Evidence: Discussions with ONDCP staff, program documents.

Does competition encourage the participation of new/first-time performers through a fair and open application process?

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Does the program adequately define appropriate termination points and other decision points?

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If the program includes technology development or construction or operation of a facility, does the program clearly define deliverables and required capability/performance characteristics and appropriate, credible cost and schedule goals?

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Has the program demonstrated adequate progress in achieving its long-term outcome performance goals?

Explanation: CTAC has recently established adequate long-term performance measures but has not yet developed the targets and time frames for those measures.

Evidence: Discussions with ONDCP staff.

Does the program (including program partners) achieve its annual performance goals?

Explanation: CTAC has recently established adequate annual measures performance measures but has not yet developed the targets and time frames for those measures.

Evidence: Discussions with ONDCP staff.

Does the program demonstrate improved efficiencies or cost effectiveness in achieving program performance goals each year?

Explanation: No evidence of any efficiency measures and targets, such as per-unit cost of outputs, timing targets, program overhead costs, average times to fund competitive awards, or other indicators of efficient and productive processes germane to the program.

Evidence: Discussions with ONDCP staff.

Does the performance of this program compare favorably to other programs, including government, private, etc., that have similar purpose and goals?

Explanation: There has been no comparison of CTAC's R&D program to similar programs run by other agencies.

Evidence: Discussions with ONDCP staff.

Do independent and quality evaluations of this program indicate that the program is effective and achieving results?

Explanation: There has been no independent evaluation of CTAC's responsibilities other than the 1998 GAO report.

Evidence: Discussions with ONDCP staff.

If the program includes construction of a facility, were program goals achieved within budgeted costs and established schedules?

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