NRAC's Strategic Plan

A Strategic Plan for the Northeastern Regional Aquaculture Center

Implementation Period: 2001-2011

Introduction

In December 1999, the Board of Directors of the Northeastern Regional Aquaculture Center (hereinafter, "the Board" and "NRAC," respectively) approved and adopted new Vision and Mission Statements for the Center. These statements (below) spell out the desired future role/niche for NRAC in the development of commercial aquaculture in the Northeast (Vision Statement) and the general mechanisms the program would use to fulfill this role (Mission Statement). In adopting these statements, the Board recognized that they alone would not be adequate to guide the program over the next decade to maximize its available resources as well as its impact on the commercial aquaculture industry¹. The Board established a Strategic Planning Committee and charged it with developing a strategic plan for the Center. This is that plan. Founded on the Vision and Mission Statements, the plan formulates a series of overarching program goals by which NRAC can better stimulate the economic development of the commercial aquaculture industry in the Northeast. These goals take the form of a series of statements (in bold) that describe an enhanced industry that could be in place ten years in the future. The document identifies specific NRAC policies and program activities that would further the achievement of each goal. Where the Committee wished to highlight priority activities, these are underlined.

The goals for the commercial aquaculture industry in the Northeast contained in this plan are ambitious and their attainment will not be solely dependent on how well NRAC organizes and conducts its program. A welter of social, economic, and other factors beyond NRAC's direct control will continue to affect the health of the region's commercial aquaculture industry. The policies, decisions, and activities of other private organizations and governmental agencies will also influence the future of the industry. These organizations represent potential partnering organizations with which NRAC might collaborate in its attempt to grow and improve commercial aquaculture, together moving the industry towards these goals. This plan does not decide for NRAC what specific topical area(s) the program should address over the next decade. Such decisions need to be made through established program development processes and procedures, with the consistent and effective involvement of NRAC's target audience-the commercial aquaculture industry in the Northeast. Additional, the plan does not fully explicate the staff and financial resources necessary for NRAC to achieve its several goals or to undertake any or all of the recommended activities. The Strategic Planning Committee recommends that the Board work closely, through its Executive Committee, with the Executive Director to develop an implementation document for the plan, wherein such resource requirements would be more fully determined. It is further suggested that this implementation document be based upon one of a number of well-established procedural aides used in planning and managing organizational activities.

As a corollary to the development of NRAC's first strategic plan, the Strategic Planning Committee proposed a number of revisions to the Memorandum of Understanding (MOU) that founded the program. The general direction of these revisions was to remove inconsistencies from the document, to add to the MOU substantial omissions describing important NRAC procedures, and to remove from the MOU the description of more routine administrative procedures. These latter will be incorporated into a set of organizational by-laws and rules of procedure. Drafting these consolidated by-laws and rules of procedure is a logical next undertaking in the re-codification of NRAC's "rules and regulations." At its December 2000 Annual Meeting, the Board accepted and approved the revised MOU with minor changes.

In March 1999, NRAC received a formal program review organized by its parent agency, the U.S. Department of Agriculture. The ensuing review report, "Special Review Report. Northeastern Regional Aquaculture Center, March 23-25, 1999," assesses NRAC's organization design, governance structure, and routine program development procedures. The report contains findings and recommendations for improving the program in several areas: program management; center operation, structure, and governance; outreach and extension activities; and the inclusiveness of NRAC's program of activities. The Special Review Report's focus is on how NRAC is structured and how it functions, while the focus of this plan is primarily on what NRAC should do in terms of programs and activities (Topical Statement V does deal with internal program management and procedural issues). Where a policy or program activity called for in the plan responds to a recommendation of the Special Review Report, this is so noted (i.e., SRR24 = 2nd recommendation on page 4 of the Special Review Report).

Cross-cutting Issues:

A number of issues that impinge on the operation and operational success of NRAC in assisting the commercial aquaculture in the Northeast do not fit snugly into one of this plan's organizing goal statements. They are dealt with here.

Flexibility

This strategic plan provides a blueprint for NRAC over the upcoming decade (2001-2011). Since its inception, NRAC has had a relatively restricted programmatic ambit and has focused almost exclusively on developing projects for submission, review, and approval by its parent agency, the U.S. Department of Agriculture (USDA), and then making and administering contracts to fund these activities. However, the needs of the commercial aquaculture industry in the Northeast are many and diverse; not all are effectively addressed through grants and contracts for research, education, and extension projects, although these will always have their place. This plan describes an NRAC that is more than a granting agency, fielding a program that is a mix of granting activities supplemented by other activities that will propel the program into a leadership position within the commercial aquaculture industry in the Northeast. This plan is meant to provide a general outline for this mix of activities and the policies NRAC should implement to attain this leadership position. However, the adoption and implementation of the plan, will not negate the need for the program to remain flexible and responsive to new issues and priorities that arise within the dynamic and multi-dimensional aquaculture industry.

The Strategic Planning Committee recommends that the Board closely monitor the implementation of this plan, or approved parts thereof, to ensure that the objectives of the plan are retained in its implementation. Moreover, the plan itself needs to mimic NRAC's and aquaculture's environment in being dynamic. The Committee recommends a periodic review by the Board of the plan for its continued relevance to the needs of the aquaculture community in the Northeast and NRAC's position to service those needs.

Existing Industry Vs. New Entrants

It has been NRAC's stated policy to direct its efforts primarily to support the needs of the existing commercial aquaculture firms in the Northeast. This is a reasonable policy and no explicit change to it is recommended here. However, the program has not and should not turn entirely aside from the needs and problems of prospective new entrants to the aquaculture industry in the region. Clearly, achieving "growth and development" of the industry through a mere increase in the number of firms ostensibly engaged in it, regardless of the long-term viability of these firms, is not an acceptable outcome for NRAC or others interested in meaningful economic development. For the most part, fostering growth within the existing industry will create a business and social climate that is conducive to new entrants. However, it is also true that new entrants can be a unique source to an industry of entirely new and innovative business solutions, concepts, and approaches. NRAC's Board-approved vision and mission statements clearly encompass a commercial aquaculture industry in the Northeast that is improved and more substantial as indicated by a variety of measures--production levels, overall economic activity, number of firms, employment levels, quality and diversity of products, etc. To fully achieve its vision and to responsibly carry out its mission, NRAC's program must be relevant to both the existing industry and potential entrants into the industry.

Sustainability

In adopting this plan, the Board stands squarely behind the view that the commercial aquaculture industry in the Northeast must be conducted on an economically and environmentally sustainable basis. The Board recognizes that the concept of sustainability is subject to multiple definitions and that reasonable and well-intentioned people can disagree over whether a specific system or operation meets this standard. The Board is committed to fully integrating the concept of environmental sustainability into NRAC's program and to have the program serve a leadership function in the Northeast in seeking a societal consensus on this issue.

Topical Satement I

By 2011, the aquaculture industry in the Northeast will be highly competitive in the global aquaculture marketplace. This will result, in part, from the widespread development and use of advanced production technologies and increased access to business development and working capital.

Aquaculture as a commercial activity is a global enterprise. While many aspects of the industry in the Northeast have a regional character, the increasing reality is that aquaculture products are moved around the globe from producers to various markets. To flourish in the coming decades, commercial culturists in the Northeast must be able to compete in this global arena--compete in the sense of successfully penetrating international markets and compete in the sense of being able to retain a share of domestic and regional markets for their products in the face of global competition for those markets. Use advanced production technologies can aid the industry in this competition. Advanced production technologies can increase production technologies can increase the volume of production, increase the value of the product to be marketed, and/or make the production process more cost-efficient. In this context, the phrase "advanced production technologies" can and should have several meanings, ranging from the development and introduction into the industry of highly sophisticated ("hi-tech") technologies to production technologies that are based on traditional production methods but innovate on those methods, moving them to a higher level of output or efficiency. No single production prescription is warranted as best able to serve the highly diverse commercial aquaculture industry of the Northeast.

Program Policy: To help achieve this goal, NRAC will:

· have a commercialization emphasis, giving priority to projects whose final outcome will increase the value of aquaculture products or decrease production costs (SRR14 & 15)

· establish the development and testing of advanced production processes and technologies as a program priority (SRR15)

· define advanced production technologies in a broad way and context-based as applied to different segments of the industry

· in assessing the benefits of advanced production technologies, consider all aspects of the introduction of these technologies, including such issues as labor requirements, permitting issues, and commercial level scaling factors (SRR34 & 44)

Program Activity: To help achieve this goal, NRAC will:

· identify, on a species-specific basis, bottlenecks in the production process where the development of new equipment and/or methodologies would increase output (SRR14)

· undertake demonstration projects involving the testing of advanced production systems to determine their cost effectiveness, under various conditions, when used at commercial production levels (SRR16)

· establish a mechanism to address issues in financing aquaculture businesses to identify priority, researchable topics in this important arena (SRR14 & 25)

· distribute information to the aquaculture industry on new, advanced production systems for species currently under commercial cultivation

Topical Statement II

By 2011, the commercial aquaculture in the Northeast will have doubled its production from 2000. The capability for public and private aquaculture research, development, and demonstration in the region will be significantly expanded over that present in 2000.

The growth and development of commercial aquaculture in the Northeast will require a concerted effort to stimulate different segments of the regional economy, as well as other components of society (government, educational, NGO's) to support aquaculture. From its foundation as a financial supporter of aquaculture research and education activities, NRAC must expand and diversify its involvement in this process, assuming the role of prime regional catalyst for the industry's growth.

Program Policy: To help achieve this goal, NRAC will:

· target the enhancement of the region's public & private infrastructure for aquaculture research, education, development, and demonstration as a program priority (SRR21)

· promote within regulatory, economic development, and other governmental programs the identification of aquaculture as a component of the agriculture industry

Program Activity: To help achieve this goal, NRAC will:

· establish closer ties to the nation's/region's public and private investment community for commercial aquaculture in the Northeast (SRR33)

· establish multi-state coalitions to solidify relations, access additional resources for aquaculture research, development, commercialization, and demonstration and to address inter-species problems (SRR28, 29, 44, 78)

· establish a program to stimulate the formation of "aquaculture business incubators" designed to assist fledgling entrepreneurs in starting new ventures or introducing new products or services (SRR80, 83)

· establish closer, more functional ties with state aquaculture associations, assisting them to become more effective promotional organizations for aquaculture in their respective states (SRR25, 55, 56, 73, 80)

· interact with state aquaculture coordinators more regularly and effectively in promoting aquaculture in the Northeast; for states without aquaculture coordinators, NRAC should cooperate with that state's aquaculture association to promote the development of a focal point within state government for aquaculture issues

Topical Statement III

By 2011, the commercial aquaculture industry in the Northeast will be able to access information, and information technologies, on aquaculture species, production technologies, markets, environmental issues, regulatory and political issues, etc. necessary to its needs. This information will be open, accurate, easily accessible, available in timely fashion, and affordable.

Like all businesses, aquaculture firms require information on many aspects of their operation and their environment (natural, business, or socio-political). NRAC should be the nexus of a regional aquaculture information network that meets this need. The network should be encompassing and comprehensive, and feature state-of-the-art electronic information storage and retrieval technologies. As NRAC helps develop this network, it should work to ensure that as many firms as possible in the region are linked to it. Other clients and users of this aquaculture information network will include politicians, the regulatory community, scientists, and the general public. NRAC should take fullest advantage of current information storage and dissemination technologies, especially those associated with the Internet and World Wide Web.

Program Policy: To help achieve this goal, NRAC will:

· make full use of all vehicles (electronic, print, toll free telephone number, etc.) to disseminate aquaculture information throughout the Northeast region

Program Activity: To help achieve this goal, NRAC will:

· produce an electronic and/or paper directory to the regional aquaculture industry, including producers, suppliers, research and development organizations, regulatory agencies, etc.

· explore the use of video and electronic imaging technology to provide quick and novel diagnosis tools for such concerns as disease diagnosis & response

· in concert with the Regional Extension Project, develop a comprehensive array of Web-based information services about aquaculture and aquaculture in the Northeast suitable to a variety of target audiences. In designing and implementing these services and/or information products, NRAC should seek to partner with other organizations interested or involved in aquaculture or dissemination of scientific/technical information (SRR510)

· produce an introductory brochure for new entrants into the commercial aquaculture industry of the Northeast, detailing the steps necessary to establish a business and the capital, technical, marketing, and other resources available to start-up companies

Topical Statement IV

In 2011, the commercial aquaculture industry in the Northeast will be recognized as an important part of the regional economy, providing significant economic, employment, socio-cultural, and nutrition-related benefits to the region. This awareness will be reflected in supportive postures adopted by state and municipal governments towards the industry and broad support for aquaculture among the general public.

Commercial aquaculture is a heavily regulated industry, with most regulations originating at the state and municipal levels. The economic viability of individual businesses as well as the health of the overall industry depends on a regulatory environment that fosters and supports aquaculture whenever possible, at the same time as it imposes reasonable constraints to minimize the impact of aquaculture operations on the natural environment. This type of supportive regulatory environment requires that the industry enjoy the support of the general public. NRAC has a critical role to play in educating the general public, politicians, and government regulators about aquaculture--its requirements, its products and services, and the social benefits that accrue to a thriving industry. Securing regulatory and public support requires that commercial aquaculture be perceived as a sustainable activity--sustainable in an economic sense, in an environmental sense, and, overall, in a societal sense. NRAC's program must acknowledge and reflect this reality.

Program Policy: To help achieve this goal, NRAC will:

· increase the awareness of governmental leaders at the local, state and federal level, academic leaders, and the general public as to the importance of aquaculture

Program Activity: To help achieve this goal, NRAC will:

· prepare a packet for Congresspersons in each state, as well as state legislators, detailing the status of aquaculture in that state and the positive impact of aquaculture to the state and individual legislative districts

· work with existing industry and state governments to ensure that aquaculture is given "most favored industry" status under state financial, tax, and related policies, laws, regulations, and codes

· conduct workshops throughout the region for opinion-makers to introduce them to aquaculture and provide a forum for the discussion of local opinions regarding aquaculture, the minimization of user conflicts

· develop electronic mailings of scientific information about aquaculture to appropriate state and municipal agencies, including officially-designated state aquaculture coordinators, in formats that can be released by these agencies to stake holder groups within their jurisdiction

· review/update the video, "Aquaculture in the Northeast," to include aquaculture success stories for each state in the Northeast

· encourage and provide support to programs such as those of the Future Farmers of America and 4-H for educating youth as future aquaculturists; explore fully opportunities for bringing the potential of aquaculture to the attention of urban audiences

· provide support for the re-evaluation of high school curricula dealing with aquaculture or aquaculture-related topics; where existing curricula are lacking or need improvement, develop or improve them

· work with teachers and aquaculture educators, as well as culturists, to conduct training for teachers who wish to introduce aquaculture into the classroom

Topical Statement V

By 2011, the aquaculture industry in the Northeast is flourishing and NRAC has developed on-going and effective mechanisms for program planning, evaluation of project/program success, and dissemination of program results. A high percentage of NRAC projects and other directed activities are successful in achieving stated objectives.

The commercial aquaculture industry in the Northeast is diverse, with many freshwater and marine species under cultivation. The success of any individual aquaculture business, and of the regional industry more generally, is affected by a multitude of factors, e.g., management expertise, luck or the lack of it, the regulatory environment, financial markets, technical problems on the farm, etc. NRAC is charged with developing an effective program to lead and assist the industry in further developing itself. Yet, the resources available to the program to do this have been, are, and will continue to be limited. Thus, it is essential that NRAC develops a procedure for selecting funded activities that guarantees to the greatest extent possible that the investment of funds in the activity/project will produce a greater return in long-term public benefits in the form of tangible economic gains in the commercial aquaculture industry.

Program Policy: To help achieve this goal, NRAC will:

· support activities that are directly applicable to the needs and problems of the regional aquaculture industry, which have a measurable and verifiable benefit to the industry in the form of immediately useful results or products (SRR14, 15, 16, 212)

· organize its programmatic activities into broader topical areas, with the constituent projects/activities in each area forming a complementary set of efforts (SRR15, 25, 35)

Program Activity: To help achieve this goal, NRAC will:

· retain/expand direct industry involvement in program priority-setting and project/activity selection (SRR15, 212)

· co-fund more projects/activities with industrial or commercial partners (SRR18)

· develop benefit and benefit implementation goals for each funded activity; these goals should be concrete and quantifiable; more closely monitor funded projects/activities to detect success or failure (SRR15 & 36)

· NRAC should modify its funded project/activity management procedures to help ensure project/activity success (e.g., establish specific internal project milestones; communicate with industry as project proceeds; conduct project through to completion of project's explicit, stated goals (SRR36)

· provide aid to the commercial industry in implementing project results to achieve potential benefits

· establish close connections with industry so as to detect and advertise project benefits as they accrue (SRR512)

· seek to ensure that governmental/university intellectual property or patent policies do not interfere with the broadest possible dissemination of NRAC project results to the industry

Financing NRAC

Historically, NRAC's program has been directly funded solely through annual institutional awards from USDA, its parent agency. Each year, the Regional Aquaculture Center (RAC) program item in the USDA budget has been divided equally between the five Regional Aquaculture Centers. This translates into an annual NRAC budget of approximately $750,000. Many NRAC-supported projects have also been co-funded by the contractor organizations (primarily universities and, to a lesser degree, private aquaculture companies) via their provision of matching funds, waived fees, or other in-kind support. Importantly, NRAC's host institution, The University of Massachusetts, Dartmouth provides office space and a wide array of support services to the Center, many at no cost. Taken together, the direct USDA funding and matching/in-kind support probably brings NRAC's annual "all-funds" budget to slightly over $1 million.

Current NRAC funding levels severely limit the program's ability to achieve its vision and its mission. The large number of aquatic species under cultivation in the Northeast and the myriad factors--scientific, economic, technical, social--that affect the fortunes of the industry and individual firms in the region make it very difficult for the program to carry out activities of a size and financial scale that are likely to impact the industry in a major way. Two things can be done to address this problem.

The appropriation for USDA's Regional Aquaculture Center Program is badly under-funded. Its current appropriation ($3.5 million) is only 50% of the level authorized by Congress. A national RAC program actually funded at $7 million annually would not rank it among the larger federal programs (not by a long shot), but a doubling of the RAC funding would represent a real boost to the ability of the several Regional Aquaculture Centers, including here in the Northeast, to spur growth in the industry. NRAC should take the lead in working with the other RAC's, the commercial aquaculture industry, and others interested in aquaculture to secure a doubling of the annual federal appropriation to USDA's RAC Program. Notwithstanding that this would be a minor, seemingly insignificant reallocation of funds within the very large overall budget of the agency, it will not happen easily and without hard work, with NRAC serving as a focal point and nexus of coalition-building.

More broadly, the Board sees the need for NRAC to both expand and diversify its funding base. Some of the activities outlined in this plan would likely not be supportable with funds derived from NRAC's institutional award from USDA--however large that award might become. Policies limit the use and disposition of funds provided by USDA's Cooperative Research, Education, and Extension Service (CSREES), the parent USDA program housing the RAC program. As NRAC moves into activities and arenas that are outside the strictly defined research, education, and extension activities that have historically characterized its program, it will need to secure new and alternative funding sources. Such funding should project-driven and project-specific, at least initially. NRAC needs to aggressively explore ways in which state, municipal, corporate, and foundational funding sources can be engaged in the issues affecting the future of commercial aquaculture in the Northeast. NRAC need not necessarily be the conduit by which such funds would be used to support specific projects or activities. It can serve its mission as well by, at times, serving a clearinghouse role, linking organizations with specific project ideas to potential sources of funds to carry out those ideas. Another aspect of this area of opportunity is active co-sponsorship of projects--with direct financial support provided jointly by NRAC and one or more collaborating organizations or entities.

In the coming decade, NRAC should make a serious effort to expand and diversify its funding. To achieve its vision and fulfill its mission, the program must grow in size and interconnectedness with other programs also interested in aquaculture development.

Staffing NRAC

NRAC is managed by a small administrative staff housed at the University of Massachusetts Dartmouth. The staff includes an executive director, executive assistant, and secretary. Student aides are also used periodically on an hourly basis. In addition to the in-house staff, the Center reimburses the University for 0.75 FTE of a staff member in the Office of Grants, Contracts, and Sponsored Program who serves as financial account manager on NRAC contracts. Because of USDA and UMass Dartmouth requirements, and also because of self-imposed procedures and policies adopted by NRAC's Board of Directors, the management of NRAC's funding and funded activities entails considerable paperwork and administrative detail. The program staff relies on the TIAC and the Board's Executive Committee to assist in some necessary administrative tasks and functions.

With the exception described below, the size and job functions of the current staff appear to be adequate to handle the future demands of the Center, but this could change if the level of funding available to NRAC increases significantly or if the number/type of activities it engages in changes. It is recommended that the Board monitor the staff requirements of the Center as this strategic plan is implemented.

NRAC has historically paid insufficient attention to its role as an information purveyor--information about aquaculture, about NRAC, and about the results of funded NRAC research, extension, and education projects and activities. NRAC is known and recognized by many in the aquaculture industry in the Northeast, who often criticize the program for its poor record of information dissemination. Beyond the aquaculture industry, the program has a very low profile and a very low recognition rate. This major problem for a program that, at present, relies entirely on public funds for its existence. Many of the recommendations contained in this plan call for a greater, broader, and deeper involvement of NRAC in the community of interests that involve or effect commercial aquaculture in the Northeast. This will require that the program's communication functions be widened and made more effective. The Center's periodic newsletter and Web Page needs to be regalvanized, updated, and then actively maintained. With UMass Dartmouth, NRAC needs to do a much better job at orchestrating media coverage of aquaculture-related news and events, especially those associated with NRAC and its activities. Members of the industry need to be periodically sent information about NRAC research and what information it has produced. NRAC should be at the hub of an aquaculture information network in the Northeast. That network needs to be constructed and then NRAC needs to develop the capability to run it. The strategic planning committee recommends strengthening the Center's capabilities in information storage, retrieval, and dissemination, etc. by engaging the services of a consultant on an extended contract to perform the invaluable outreach function. Some of this can be accomplished through the regional extension project, but there will be a continuing and increasing need to move aquaculture information in traditional print and electronic media from and through the Center's administrative offices.

Implementing this Plan

The responsibility for implementing the many recommendations contained in this plan is borne mainly by the NRAC Executive Director and support staff, acting on the advisement of the TIAC and under the supervision of the Board's Executive Committee. The plan gives some guidance on the relative priorities assigned to its several recommendations; within each goal area, the underlined specific activity recommendations have the top priority and should be addressed first. Use of an organizational activity planning and prioritizing tools, such as the Logical Framework Document approach, is recommended to direct the Center in implementing these priority activities. Operationally, the recommendations of this plan should be incorporated into the succession of Prime Grant Applications and yearly Plans of Work prepared by NRAC in the coming decade. These should present the budget year costs of specific activities and also project future (outyear) requirements for these activities to assist in budget and program planning. As noted earlier, the Board should ensure, through periodic review, that this plan remains dynamic, responsive to changes in NRAC's environment and that of the commercial aquaculture industry in the Northeast more generally.

Formally adopted: April 13, 2001

Some proponents of commercial aquaculture have expressed concerns over use of the term aquaculture industry because of negative connotations this term might convey re environmental sustainability, etc.. This plan uses the term. The Board notes that commercial aquaculture shares fundamental commonalities with the agriculture industry that should be emphasized and recognized in the adoption of policies, laws, and regulations; use of the term commercial aquaculture industry fosters the view that aquaculture is a form of agriculture.

NRAC's Strategic Plan

A Strategic Plan for the Northeastern Regional Aquaculture Center

Implementation Period: 2001-2011

Download NRAC's Strategic Plan