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An Introduction to Budget at the Federal and NSF Levels
Federal Budget & Process
The president’s budget is not binding and is considered the administration’s proposal and request. With it comes volumes of information, including budget justifications from each agency that help Congress complete its own budget. The president’s budget generally is submitted by the first Monday in February.
The House and Senate budgetcommittees develop their own versions of a budget resolution. If the traditional schedule holds, both are developed by early April, and the leading budget committee members from both chambers develop a consensus agreement called a conference report that is typically adopted in April/May.
The two chambers arrive at a concurrent budget resolution, which is not formally a law and does not require the president’s signature. However, the House and Senate have enforcement procedures to ensure directives are met. The budget resolution sets in motion legislation that, when enacted, has the force of law.
Appropriations bills cover the discretionary portion of the budget and don’t affect mandated benefit programs such as Social Security and Medicare. Two or more of the appropriations measures can be lumped into a single omnibus appropriations bill. All of the bills must be signed by the president to become law.
Another portion of the funds goes to authorizing committees for entitlements and other mandatory spending. To change these amounts, laws must be rewritten and voted on in reconciliation legislation, which requires presidential signature to become law.
If all 13 appropriations bills aren’t signed by Oct. 1, the start of the new fiscal year, Congress may pass a continuing resolution to fill the gap. If Congress fails to pass the resolution or the president vetoes it, nonessential activities in government are shut down until appropriations for them are enacted.
February June through SeptemberMarch April May
House Budget
Committee formulates
budget resolution
Senate Budget
Committee formulates
budget resolution
Budget conference committeereports out
the concurrent resolution
of the budget.
House floor votes
Senate floor votes
House votes on 10 separate appropriations
bills.
Housevotes on
reconciliation.
Housevotes on
conference report.
Housevotes on
reconciliation.
Senate votes on 12 separate appropriations
bills.Senate
votes on conference
report.
Senatevotes on
reconciliation.
Senatevotes on
reconciliation.
Concurrent budget
resolution reached.
House authorizing committees
report changes in law to comply with budget resolution.
Senate authorizing committees
report changes in law to
comply with budget
resolution.
House Appropriations
Committees reports spending
measures to comply with
budget resolution.
Senate Appropriations
Committees reports spending
measures to comply with
budget resolution.
House authorizing committees
recommendations submitted to
Budget Committee.
10 plus conference committees
(No complete alignment)
Senate authorizing committees
recommendations submitted to
Budget Committee.
Budget reconciliation
conference committees.
President signs or vetoes
appropriations bills.
President signs or vetoes
appropriations bills.
House floor votes
Senate floor votes
President submits
his budget
proposal to
Congress.
The Long Path to a Federal Budget
Commerce, Justice, Science
Defense
Energy
Agriculture
Transportation
Education
Justice
Housing &Urban Development
EPA
NRC
NSF
Veterans Affairs
Labor
NASA
Departments & Agencies
Development of the Federal R&D BudgetShowing Fields of Science and Executive and Legislative Decision Units
Engineering
PhysicalSciences
EnvironmentalSciences
LifeSciences
Psychology
SocialSciences
OtherSciences
Fields of Science
NationalDefense
AffairsInternational
Energy
Agriculture
Transportation
Health
Budget Review Offices (OMB)
House & Senate Budget Committees (Budget Functions)
Agriculture & Related Agencies
Energy and Water
Development
State and Foreign
Operations
Interior and Environment
Homeland Security
Transportation & Related Agencies
Defense
House and Senate
Appropriations Subcommittees
Banking, Housing& Urban Affairs
Veterans Affairs
Senate Authorization Committees
Energy & NaturalResources
Environment &Public Works
Commerce, Science,& Transportation
Education and Labor
Financial Services
Veterans Affairs
Energy and Commerce
Science and Technology
AgricultureAgriculture,Nutrition, & Forestry
House Authorization Committees
Armed Services Armed Services
Foreign Relations Foreign Affairs
Natural Resources
Transportation & Infrastructure
(With significant R&D $)
Judiciary Judiciary
Homeland and National Security
Science
Technology
Math & Computer Science
Agency for International Development
Commerce
Health & Human Services
Interior
National Security
Natural Resources
General Government
Human Resources
General Science, Space & Technology
Natural Resources & Environment
Commerce & Housing Credit
Community & Regional Development
Education, Training, Employment, & Social
Services
Veterans Benefits & Services
Administration of Justice
National Science and Technology
Council Research Committees
Connecting lines indicate location of agency budget decisions, but not decision sequences.
Environment and Natural
Resources
Military Construction and
VA
Labor, Health & Human Services,
Education
Financial Services and General Gov’t
Homeland Security and Governmental Affairs Homeland Security
Homeland Security
Income security
Treasury
Health, Education, Labor
and Pensions
Spending America’s IncomeBroad revenue and spending categories in President Obama’s fiscal 2010 budget:
Where it comes from (receipts)$2.3 Trillion
How it would be spent (outlays)$3.6 Trillion
Individual income tax:$1,051 billion
Corporate income tax:$179 billion
Payroll tax:$940 billion
Excise tax: $75 billionEstate and gift tax: $20 billion
Customs duties: $24 billionOther: $44 billion
$696 billion: Social Security
$687 billion: Discretionary(non-defense)
$707 billion: Defense(discretionary)
$452 billion: Medicare
$136 billion: Interest on debt
$290 billion: Medicaid
$623 billion: OtherDeficit: $1,258 billion
$3.6Trillion
Percentage Composition of Federal Government Outlays
National Defense
Net Interest
All Other
Payments to Individuals
0%
20%
40%
60%
80%
100%
40 44 48 52 56 60 64 68 72 76 80 84 88 92 96 00 04
Fiscal Year 2007
$1,494 B
$528 B
$247 B
$501 B
1940 1971 2007Current $ $9.5B $210.2B $2,770B
President's Request for Non-Defense Discretionary Budget Authority
By Major Agency -- FY 2008
Other Agencies31.6 B
7%
NSF6.4 B1%
NASA17.3 B
4%
EPA7.2 B2%
Veterans Affairs39.4 B
9%
Treasury12.1 B
3%Transportation
12.1 B3%
State & Int'l Pgm35.0 B
8%
Labor10.6 B
2% Justice20.2 B
5% Interior10.6 B
2%Housing & Urban Dev
35.2 B8%
Homeand Security34.3 B
8%
Health & Human Service69.3 B15%
Energy24.3 B
5%
Education56.0 B12%
Commerce6.6 B1%
Agriculture20.2 B
5%
Total = $448.4 Billion
NSF’s Budget
$0.0
$2.0
$4.0
$6.0
$8.0
$10.0
$12.0
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016
$ in Billions
Fiscal Year
Recent and Outyear NSF Funding
NSF Appropriations ARRA Appropriations American Competitiveness Initiative America COMPETES Act
FY 2009 AppropriationAppropriations Account FY 2009
AppropriationFY 2009 Recovery Act
Total FY 2009 Appropriations
Research & Related Activities $5,183 $2,500 $7,683
Education & Human Resources $845 $100 $945
Major Research Equipment & Facilities Construction
$152 $400 $552
Agency Operations &
Award Management
$294 - $294
National Science Board $4 - $4
Inspector General $12 $2 $14
TOTAL $6,490 $3,002 $9,492
President’s Plan for Science & Innovation
FY 2010 Appropriations:Marks
FY 2010 House Senate ConferenceRequest Mark Mark Mark Amount Percent
$5,733 $5,642 $5,618 $5,618 -$115 -2%
$858 $863 $858 $873 $15 2%
$117 $114 $122 $117 - 0%
$318 $300 $300 $300 -$18 -6%
$4 $4 $4 $5 $0.2 5%
$14 $13 $14 $14 - -
$7,045 $6,937 $6,917 $6,927 -$118 -2%6.70%
Conf. Less FY 2010 Request
FY 2010: Major Themes and Priorities
• Potentially Transformative Research – $92 million to leverage activities
• Examples:– EAGER– Sandpit process
• New Faculty and Young Investigators– CAREER - $204 million
• Workforce development– Advanced Technological Education (ATE) - $64
million• Climate Change
– Climate Change Education program - $10 million• Clean Energy
– RE-ENERGYSE - joint NSF/DOE activity
FY 2010: Major Themes and Priorities
Graduate Research Fellowships
Triple the number of new fellowships by 2013
0500
1,0001,5002,0002,500
3,0003,500
FY2008
FY2009
FY2010
FY2011
FY2012
FY2013
FY 2010: Major Themes and Priorities
GRF Funding by Account
0%
20%
40%
60%
80%
100%
FY 2007Actual
FY 2008Actual
FY 2009Total
FY 2010Request
R&RAEHR
$94M $96M $161M $122M
*Total Program Funding Listed
FY 2010: Major Themes and Priorities
• Cyber-enabled Discovery and Innovation (CDI) $103 million - +$32 million over ‘09
• Science & Engineering Beyond Moore's Law (SEBML) $47 million - +$31 million over ‘09
• Climate Research (CR)$197 million – builds on existing NSF activities
FY 2010: Major Themes and Priorities
Major Research Instrumentation**$100 million
EPSCoR$147 million
Cybersecurity$127 million
FY 2010: Major Themes and Priorities
Science and Technology CentersNew cohort of STCs planned
Networking and Information Technology Research and Development (NITRD)$1.1 billion, +$107 million
National Nanotechnology Initiative (NNI) $423 million, +$26 millionTotal includes $30 million for EHS
EHR Programs
• Education and Human Resources: $857.76, +1.5%
Graduate Fellowships (GRF, IGERT, GK-12): $245.19M, + $9.57M, +4.1%.
HBCU-UP: $32M, +$500K, +1.6% LSAMP: $44.75M, + $2.25M, +5.3% TCUP: $13.35M, -$150K, -1.1% MSP: $58.22M, -$2.78M, -4.6% Noyce: $55M, flat with FY09 Current Plan
Major Research Equipment and Facilities Construction
FY 2009 Current
Plan
FY 2009 Recovery
ActFY 2010
RequestAdvanced LIGO $51 - $46Atacama Large Millimeter Array 82 - 43Alaska Region Research Vessel - $148 -Advanced Technology Solar Telescope
7 146 10
IceCube 11 - 1Ocean Observatories Initiative - 106 14Judgment Fund - - 3MREFC Total $152 $400 $117Totals may not add due to rounding.
(Dollars in Millions)
NSF’s Budget Process
Budget Formulation and Planning Cycle
Oct Dec Jan Feb Mar Apr May June July Aug Sep Oct
NSB Activities
NSF Activities
Complete FY+1Budget
Assistant Director Retreat;Major Research Equipment Review; Examining Priorities
Scenario Planningfor FY+2
Develop FY+2Budget
Submit FY +2Budget to OMB
Planning EnvironmentIssues Analysis; Guidance on Establishing Priorities
Principles GoverningFY+2 Budget
NSB Attention to FY+2 Budget
NSB ApproveFY+2 Budget
Federal Fiscal Year (Reference Year = 0)
Nov
NSF Budget Formulation
February 2010
February – FY 2011 Budget to Congress
March/April – Hearings on FY 2011
March - June Planning for FY 2012
May 2010 NSB: Budget Discussion on FY 2012
May/June Budget Calls for FY 2012
August NSB: FY 2012 OMB Budget Approved
September - OMB Submission of FY 2012
September - Close Out of FY 2010
October 1 - FY 2011 Current Plan
October/November - OMB Hearings on FY 2012
December 1 - OMB Passback/Appeal
February 2011
NSF BUDGET EXECUTION
August 2009
August – Develop initial interim operating plans for FY 2010
September – Make interim operating plans available
October 1 – Enactment of Appropriations (December 18)
November 1 – Submit Current Plan to Congress (January/February)
December 1 – Congress Approves Current Plan (February/March)
December – Finalize Operating Plans (February/March)
December thru August – SPEND!
August – Deadline for Processing Actions
September – Close-out
September 2010
81
-42
38
34
27
5
27
-3
205
-5
26
20
19
26
55
139
112
67
89
134
85
160
76
-80 -40 0 40 80 120 160 200 240
1988
1989
1990
1991
1992
1993
1994
1995
1996
1997
1998
1999
2000
2001
2002
2003
2004
2005
2006
2007
2008
2009
2010
APPROPRIATIONS DRIFTNSF Appropriations Dates versus Start of Federal Fiscal Year Oct. 1
DAYSOct. 1
How the Money Flows to Your Office
Congress OMB/Treasury NSFBFA (BD/DFM)
Appropriations Apportionment
(Days)
NSF AccountsR&RAEHR
MREFCS&ENSBOIG
Allotment(Hours)
Directorates/Offices
Divisions
Programs
OperatingBudget(Days)
Current Plan
Where to find budget information.
Budget References
• Congress: www.nsf.gov/od/lpa/congress/www.thomas.loc.gov/home/thomas2.html
White House: www.omb.govwww.ostp.gov
NSF: www.nsf.gov/bfa/bud/start.htmhttp://dellweb.bfa.nsf.gov/www.inside.nsf.gov/bfa/budget_primer/index.cfm
•Other: www.aaas.org/spp/rd/
NSF Budget Division: Major Responsibilities
• Annual Budget Submissions to OMB and Congress
• Annual Performance and Accountability Report
• Materials for Congressional Hearings
• Long-Range Planning Materials for NSB, O/D
• Special Analysis for COVs, NSF-wide activities
• Review of major documents (Clearance)
• Budget Execution (with DFM)
• Enterprise Information System (EIS)
• Budget Internet Information System (BIIS)
• Input to OMB budget database (MAX)
• Advisory Committee for GPRA Performance Assessment (AC/GPA)
• APIC GPRA Working Group
• Verification & Validation of GPRA/PART Goals
Calendar yr 07 08 09 10 11 12 FY Budget
12
11
10
09
NSF OMB/NSF Congress Execution
09
10
11
12
We are here
FY11 Submit to OMB
FY11 Budget to Congress
Budget – Where are we?
FY10 Appropriation bill signed (or CR)